Legal & Compliance Specialist - Stellenbosch

5 days ago

Stellenbosch Western Cape, South Africa The Talent Room Full time

We are seeking a highly driven and dynamic compliance professional with a business mindset to take ownership of the legal and compliance management functions within a niche life insurance company at our head office in Stellenbosch.

Duties & Responsibilities
- Driving and owning the legal and compliance strategy within the business while ensuring alignment with the overarching business direction and strategy.
- Implementation and maintenance of a holistic regulatory and legal compliance framework.
- Designing and implementing internal controls on policies and procedures to ensure compliance across all business lines but that are also in line with the company’s digitisation strategy.
- Conducting regular compliance audits on key risk areas of the business.
- Identifying potential compliance breaches and investigate compliance irregularities or areas of concern and work with stakeholders to propose workable solutions to ensure compliance.
- Maintaining all compliance records, procedures and manuals, and ensure timely reporting to the required regulatory authorities.
- Preparing the required compliance reports for internal and external stakeholders.
- Protecting the company from regulatory and reputational risks by maintaining a clear risk framework, setting common standards, assessing adherence to standards, and providing training and guidance to all stakeholders.
- Taking responsibility for the effective implementation of risk and compliance plans and monitoring programmes.
- Keeping up to date with new legal and regulation requirements, ensuring key stakeholders are kept apprised of relevant regulations and/or increased regulatory risk and support implementation of processes to ensure ongoing compliance.
- Managing new regulatory requirements by evaluating regulations identified as relevant to the business and provide an impact analysis relevant to the business.
- Address impacts, including policy amendments, business notifications and provision of training.
- Managing all interactions with the applicable regulators.
- Being the accountable key regulatory and enterprise risk owner for the company.
- Regular reporting to the Audit & Risk Committee and the other Company Committees as may be required.
- Developing, implementing, and overseeing the enterprise and compliance risk management strategy as part of the broader company strategy.
- Managing the commercial contractual landscape and the system for managing contracts.
- Providing legal guidance and advice on internal matters.
- Sourcing and managing external debt collection agencies.
- KYC management.

Desired Experience & Qualification
- LLB, BComm (Law), or relevant qualification.
- Certificate/Diploma in Compliance Management.
- At least 5 years relevant experience performing the legal and compliance management functions within the financial services industry.
- FAIS approved as a Compliance Officer for Category 1 Financial Services Providers.

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