Compliance Officer

4 weeks ago

Pretoria, Gauteng, South Africa HR Genie Full time
Job Title: Compliance Officer - Regulatory Risk Management

HR Genie is seeking a highly skilled Compliance Officer to join our team in Bellville, Bloemfontein, or Pretoria. The successful candidate will be responsible for ensuring compliance with regulatory requirements and developing and implementing a compliance coverage plan.

Key Responsibilities:
  • Develop and implement a compliance coverage plan based on the approved regulatory framework;
  • Implement all necessary actions as per the compliance plan to ensure achievement of the compliance plan objectives;
  • Assist the Compliance Manager in the maintenance of compliance policies, procedures, and other compliance documentation.
Requirements:
  • Related degree (LLB, Bachelors in Law, Finance, Economics, Business Management, or related fields);
  • RE1;
  • Registered Phase 1 Compliance Officer with the FSCA;
  • RE3 and/or Certificate in Compliance Management (advantageous);
  • 3-5 years related experience in a compliance function in the financial services with working knowledge of investments, health benefits, non-life (short-term) insurance, and long-term insurance (being an advantage) together with being bilingual (fluent in English and Afrikaans).
What You'll Do:
  • Ensure that all employees understand the compliance policies and relevant laws and regulations;
  • Develop and deliver training programs on compliance-related topics;
  • Act as the point of contact for compliance-related questions and build strong relationships with financial advisors;
  • Provide clear and accessible guidance to employees and financial advisors on compliance matters;
  • Promote a culture of compliance and ethical behavior within the company;
  • Conduct monitoring as per the agreed compliance coverage plan;
  • Monitor and maintain all compliance registers;
  • Compile a monthly file monitoring schedule as per the monitoring plan and report findings to the Compliance Manager;
  • Liaise with internal departments, coordinate meetings with line managers, and provide monitoring feedback to financial advisors;
  • Conduct branch monitoring;
  • Review internal monitoring process and results, identify trends and risks for the company;
  • Escalate high-risk findings to the Compliance Manager immediately;
  • Assist the Compliance Manager with any compliance project;
  • Assist Compliance Manager to compile internal compliance reports on all compliance activities, compliance risks;
  • Assist with reporting to the regulator and other industry bodies;
  • Store all compliance records securely in a manner that allows for easy retrieval on SharePoint;
  • Correct naming conventions must be adhered to when documents are stored on SharePoint;
  • Maintain compliance documentation on the intranet;
  • Assist Compliance Manager with compliance training and awareness initiatives;
  • Stay abreast of regulatory matters by attending webinars and reading newsletters;
  • Attend regular compliance meetings as required;
  • Attend to general compliance queries from advisors as well as other departments within the company and escalating where necessary.

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