▷ 3 Days Left: COMPLIANCE OFFICER

2 months ago


Pretoria, South Africa Jobted ZA C2 Full time

Permanent position situated in Bellville or Bloemfontein or Pretoria.

Your formal education:

- 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)

together with 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)

will enable you to:

People:

- Training and Education:

- Ensuring that all employees understand the compliance policies and relevant laws and regulations. This includes developing and delivering training programs on compliance-related topics.

- Communication:

- Acting as the point of contact for compliance-related questions and building strong relationships with financial advisors. Providing clear and accessible guidance to employees and financial advisors on compliance matters.

- Fostering a Compliance Culture:

- Promoting a culture of compliance and ethical behavior within Company.

Processes:

- Regulatory Risk Management support:

- 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.

- Licensing and profile changes:

- Ensure that license profile changes are submitted timeously to the Regulator.

- Monitoring:

- Conduct monitoring as per the agreed compliance coverage plan;

- Monitor and or 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, co-ordinate 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 Company;

- Escalate high risk findings to the Compliance Manager immediately.

- Ad hoc support for Compliance projects:

- Assist the Compliance Manager with any compliance project.

- Reporting:

- Assist Compliance Manager to compile internal compliance reports on all compliance activities, compliance risks;

- Assist with reporting to the regulator and other industry bodies.

- Recordkeeping:

- 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.

- Training and Awareness:

- Assist Compliance Manager with compliance training and awareness initiatives.

- General:

- Stay abreast of regulatory matter by attending webinars en 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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