Compliance Manager

19 hours ago

Johannesburg, South Africa Scope Markets SA (PTY) Ltd Full time

**Overall Purpose of Role**:
To ensure the company's policies and procedures comply with regulatory and ethical standards. Perform regular audits, implement company policies, and design control systems. This role reports into the Board of Directors

**Responsibilities**:

- Ensures and assists with fulfilling the approved Compliance Programme, including Group Compliance Framework, Compliance Plan and Compliance Monitoring Plan.
- To establish an appropriate compliance culture
- Knowledgeable of legislation affecting Derivatives and Shares with specific experience in the following:

- Financial Advisory and Intermediary Services Act,
- Over the counter derivative regulation
- Financial Intelligence Centre Act, and
- Protection of Personal Information Act (POPIA).
- Knowledge of the following would be considered advantageous:

- Financial Markets Act.
- Provide interpretive guidance on existing and forthcoming legislation and policies.
- Advise and provide guidance to management on systems, policies, processes, and controls implemented to enable compliance
- Draft and maintain Compliance Policies and related Standard Operating Procedures.
- Draft and maintain Compliance Risk Management Plans (CRMP), driven by requirements contained in applicable legislation, policies, SOPSs and/or standards.
- Perform and review compliance monitoring to fulfil the requirements of the Compliance Monitoring Plan, using appropriate sampling methodologies.
- Facilitate investigation into, and resolution of, compliance related breaches
- Address ad hoc compliance queries.
- Preparation of compliance reports (e.g., Board reports, regulatory reports, etc.).
- Maintenance of relevant regulatory registers
- Provide training to business
- Research and communicate applicable legislative developments to all stakeholders

**Skills and Competencies**:

- Bachelor’s degree in law, business administration or relevant field
- A minimum of 3 years’ experience as a compliance officer or compliance manager
- CPrac (SA) - Compliance Practitioner designation from CISA; or
- Occupational Certificate: Compliance Officer; or
- Certificate in Compliance Management
- 3-5 years’ experience in compliance management is required.
- Strong knowledge of industry processes and regulations.
- Outstanding communication and interpersonal abilities.
- An analytical mindset with excellent organizational skills.

**Salary**: From R1.00 per year

Ability to commute/relocate:

- Johannesburg, Gauteng: Reliably commute or planning to relocate before starting work (preferred)

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