Compliance Officer

2 weeks ago

Randburg, South Africa OOSA Consultants Full time

Duties And Responsibilities

Key Result Areas

Establishes and embeds an appropriate compliance culture.
Development, implementation and maintenance of compliance risk management and monitoring plans.
Ensures that staff are complying with applicable legislation across the business unit, to include training to be conducted when required.
Knowledgeable of legislation affecting institutional asset management (buy side), with specific experience in the following:
Financial Advisory and Intermediary Services Act, including applicable Codes of Conduct as applicable to a Cat 2 and Cat 2A FSP,
Financial Intelligence Centre Act, and
Protection of Personal Information Act (POPIA).
Knowledge of the following would be considered advantageous:
Financial Markets Act, and
JSE Membership Rules and Regulations.
Perform compliance monitoring to fulfil the requirements of the Compliance Monitoring Plan, using appropriate sampling methodologies.
Facilitate investigation into, and resolution of, compliance related breaches. Draft relevant breach reports.
Address ad hoc compliance queries.
Maintenance of relevant regulatory registers (e.g., representative register, breach register, etc.).
Preparation of compliance reports (e.g., Board reports, regulatory reports, etc.).
Meet with managers to discuss the non-compliances
Compile regulatory reports (FAIS, FICA, etc.)
Co-ordinate and facilitate AML requests from internal stakeholders, counterparties and regulators.
Facilitating the implementation of CURA (OM Compliance system) within the Compliance Team.
Assist with training to the business.

Qualifications And Experience

Requirements: Skills, Qualifications and Experience required

Recognized legal qualifications (e.g. LLB) and/or a professional designation (for example in the compliance field; CPrac or CProf).
1 - 2 years relevant experience, with most of it preferably in asset management.

Advantageous if registered with the FSCA, or under supervision, as a FAIS Cat 2 and/or Cat 2A Compliance Officer.

Compliance Monitoring: Execute the annual compliance plan and compliance monitoring plan under the supervision of senior compliance officer:
Competent in Microsoft Excel and Microsoft Word.
Experience with CURA, SharePoint and CRM would be advantageous.
Regulatory Advisory: Research, gather data, complete an analysis and integrate into business requirements under supervision of senior compliance officers.

Regulatory Knowledge and Awareness, as applicable to the business

**Job Types**: Full-time, Permanent

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