Compliance Specialist

**Position: Compliance Specialist**

**Location: Lynnwood, Pretoria**
- **Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure adherence? Are you fantastic at evaluation and coaching where required? Raise your hand because**_
- **WE’RE HIRING**_
- **It’s our mission to unleash the potential in our team, and we know that teams perform best when they are diverse and each individual feels that they belong. That’s why we want you to join us in the capacity of Compliance Officer. This role plays an integral part in our team, as you will be the custodian of Company compliance and form an integral part in ensuring risk is mitigated within the Financial Services Provider space. **_
- **So, who are we and why would you want to join us?**_

We are a young, energetic, and passionate group of companies working in different industries, all focused on becoming market leader in our fields. Our fast-paced environment will positively challenge you and keep you engaged as you navigate through changing priorities and varying demands. We work smart, we work hard, but we have fun doing it
- **What can we offer you? Some of our benefits include**:_
- Modern fit-for-purpose people practices.
- Working in a state-of-the-art tech building that includes access to on-site gym to help you grow your fitness as much as you do your brain.
- Two on-site restaurants that will have you inhaling aromas of mouth-watering lunchtime dishes, and freshly brewed coffee. At Fintech campus that’s just a part of the rhythm of the day.

**Great, so who is a good fit?**

**So, what are the Key duties and responsibilities?**
- Responsible for implementing and enforcing the Business’ compliance programmes;
- Maintain awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements;
- Consult on an on-going basis with Operational managers to ensure conformance with applicable laws and regulations;
- Manage, oversee and monitor Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies;
- Perform statistical sampling and monitoring;
- Maintain register of representatives and informs Registrar of any changes;
- Responsible for the control of the Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) regulations;
- Analyse received documents and interact with the Office Manager to advise if received documents are acceptable;
- Ensure compliance with and oversight of, ongoing statutory regulatory requirements;
- Responsibility includes monitoring and validation of investor files, technical and documentary support to investor teams, updating of operational procedures and participation in compliance committees;
- Develop, initiate, maintain and revise policies and procedures for the general operation of regulatory compliance;
- Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future;
- Provide Compliance reports to Management so as to mitigate risk and assess success;
- Ensure effective risk management and internal control for area of responsibility.

**Skills and attributes required**:

- Trustworthiness and conscientiousness by taking responsibility for personal performance;
- Loyalty toward the organisation;
- Commitment by aligning with organisational goals;
- Attention to detail;
- Controlled decision-making process;
- Confidentiality and time management / prioritising;
- Planning and scheduling workability to manage projects and processes;
- Listening and organising ability to understand, organise, analyse and respond appropriately;
- Flexibility relating to work dealings, assist when required even if it’s not in your job description;
- Enthusiasm for learning and self-improvement;
- Be able to work accurately and effectively in a highly pressurised environment;
- Unrivalled analytic ability;
- Accountability and a team player.

**Qualifications and Experience requirements**:

- Computer literate with knowledge in Excel, Word and MS Suite;
- Completed Senior Certificate (Matric);
- Meeting the competence, qualifications and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority would be advantageous;
- 3-6 years’ experience as a Compliance Officer in the Financial Services Industry;
- A thorough understanding and knowledge of compliance risk management and monitoring programmes;
- A thorough understanding and knowledge of the regulatory requirements impacting on the various business