Regional Compliance Officer

2 weeks ago

Johannesburg, South Africa CA Global Headhunters Full time

**Reference Number**: MTBSRCO

**Responsibilities**:
Develop and implement compliance initiatives and programs to meet legal, licensing, and regulatory obligations.
Provide compliance advice to the Board, Management, and employees.
Collaborate with internal departments, regulators, authorities, and external service providers to resolve compliance issues.
Monitor business activities to ensure compliance with rules, regulations, and internal procedures.
Enforce anti-money laundering (AML) standards and assess unusual or suspicious transactions.
Design and implement training programs to promote a positive compliance culture within the company.
Conduct reviews of client files for risk profiling and update KYC Enhanced Due Diligence (EDD) on Politically Exposed Persons (PEP) clients.
Prepare reports to the Board of Directors on compliance and anti-money laundering matters.
Manage and oversee the governance process.
Analyze and investigate cases of internal Suspicious Transaction Reporting (STR).
Make decisions on whether a suspicious transaction should be reported.
Prepare and file STR reports to local authorities.
Log and file STR cases.
Manage information and reports to/from regulatory authorities.
Apprise the Board of any STR reports filed with regulatory authorities.
Implement and perform additional related controls.
Provide guidance to employees on STR-related matters.

**Requirements**:
Possess competency requirements applicable to all FSPs.
Operational ability applicable to FSPs
Appropriate level of knowledge on the legal and regulatory requirements affecting the company.
Communicate at all levels including with the regulators and other stakeholders.
Analyse information, investigate and propose solutions ensuring appropriate procedures are formulated and followed.
Interact with staff at all levels and influence policy and decision-making at the highest level, ensuring it reflects compliance requirements.
Establish solid working relationships with senior management, risk management and the regulator.

**Qualifications**:
Financial standing
Relevant education, qualifications and experience as per listed recognized compliance qualifications.
Passed the regulatory examination.
5 years'+ experience in performing a compliance or risk management function.
Ability to perform relevant functions accurately, efficiently, honestly and fairly.
Reputation, character, financial integrity, honesty and reliability.
Meet solvency requirements as per FSP.

**Benefits and Contractual information**:
Full time position
Based in Johannesburg, South Africa

Matthew Taylor

Recruitment Consultant

CA Finance

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