Compliance Specialist
1 week ago
**ESSENTIAL SKILLS REQUIREMENTS**: - Microsoft Office EXCEL, Word, PowerPoint, etc. - Effective communication skills - Time management and prioritisation - 3-5 years working experience as a FAIS compliance officer (approved by the FSCA). - Must meet the Compliance Officer registration requirements as outlined in the FAIS Act. - In-depth understanding of Conduct Risk, FAIS, COFI, Conduct standards applicable to a Credit Provider and FSP **ADVANTAGEOUS SKILLS REQUIREMENTS**: - A general understanding of the motor vehicle finance industry is desirable. - Short-term insurance (Personal and Commercial lines) experience. - Exposure to a cell captive environment is ideal. - Ability to communicate and interact across all organisational levels. - Ability to work under pressure and meet tight deadlines with minimum supervision. - Good analytical and problem-solving skills. - Good systematic process and administrative skills. - Must display initiative & be a self-starter. - Ability to manage multiple deliverables simultaneously, - Conflict management. - Big picture thinker. - Ability to work with multiple stakeholders. **WHICH QUALIFICATIONS/EXPERIENCE DO WE NEED FOR THE ROLE?** - Ideally, LLB/BCOM/BA Degree. - Preferably a member of CISA. - RE1advantageous. RE 5 ideal. **WHAT WILL BE YOUR ROLE AND RESPONSIBILITIES?** - Implementation and compliance of risk management processes and governance framework within the entity as required for an authorised FSP. - Management of the current compliance administration, including any fiduciary responsibilities and statutory reporting as required by the FAIS Act. - Act with due care, skill, and diligence in the execution of all duties. - Act within the standards and rules set by legislation. - Fulfil contractual obligations as agreed to. - Management and Oversight of statutory obligations of the FSP. - Monitoring of compliance to FSCA relevant standards as issued from time to time, including current and future legislative requirements for an FSP. - Guidance and support with FAIS /TCF / Market Conduct related customer and regulatory complaints. - Stay abreast of, assess, inform, and report on regulatory changes impacting our FSP license. - Develop and maintain regulatory relationship with Supervisory bodies, as may be required. - Monitor and maintain the CPD competence register hours of Representatives and Key Individuals. - Provide guidance and advice to the Organisation, Representatives and Key Individuals regarding any FSP regulatory and conduct topics. - Review and resolve Fit and Proper queries. - FSCA - administrative and compliance adherence to current and future applicable regulatory requirements which impact the business of BMW Financial Services, including any codes of conduct and future CBR reporting. - Conduct Risk Dashboard project: - Refine and maintain current conduct risk performance indicators ("CRPI") under Conduct Risk Framework for the Conduct Risk Dashboard (CRD). - Research and further refine the current CRPIs as a result of business processes which have an impact on the Conduct Risk statements. - Define and develop new CRPIs. - Enrich data lake to ensure desire CRPI reporting can be achieved. - Develop thresholds through consultation with key stakeholders for all metrics to be incorporated into the CRD. - Produce a stakeholder inclusive CRD to provide meaning management information. - Review and maintain Conduct Risk Framework and relevant policies. - Align to all TCF principles.
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Compliance Specialist
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Midrand, South Africa ADvTECH Full time**Varsity College**, **Vega School**, and **IIE MSA** are educational brands of **The Independent Institute of Education (The IIE)**. The IIE is widely recognised as a leader in private higher education in South Africa. It is registered with the Department of Higher Education and Training (DHET) and offers qualifications accredited by the Council on Higher...
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Cyber Security Specialist
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Regulatory Compliance Specialist
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