Compliance Officer

5 days ago

Sandton, South Africa Momentum Securities Full time

**Introduction**
- Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. We help people grow their savings, protect what matters to them and invest for the future. We help companies and organisations care for and reward their employees and members. Through our own network of advisers or via independent brokers and utilising new platforms Momentum Group provides practical financial solutions for people, communities and businesses.

Momentum Securities provides a full range of stockbroking services supported by strong management and administrative capabilities. We pride ourselves on product innovation and client service. One of our key strengths is our ability to devise solutions for your individual needs, with all our expertise at your disposal. We provide a full range of stockbroking solutions including; traditional trade executions (non-discretionary/self-managed portfolio), an advisory portfolio,
full-service stockbroking service.

**Disclaimer**
- As an applicant, please verify the legitimacy of this job advert on our company career page.

**Role Purpose**
- The purpose of the Compliance officer roleis to ensure that Momentum Securities has systems of internal control that adequately identifies, measure, monitor, manage and report of the compliance risks it faces. Additionally, the role provides regulatory advice to business units in order to assist in the achievement of strategic business objectives, within the regulatory framework.

**Requirements**:
**Qualifications**:

- Relevant qualification, such as a Bachelor of Law/BProc/BCom/LLB
- JSE Compliance Officer Certificate
- JSE Derivatives Compliance (an advantage)
- Relevant RE Exams (an advantage)

**Experience**:

- 3-5 years’ experience in an end-to-end compliance function within the Financial Services Industry including full licence management functions.
- In-depth knowledge of Investment Securities and JSE regulations.

**Duties & Responsibilities**

**REVIEW AND MONITORING OF COMPLIANCE PLAN**
- Participate in the review and/or development of an appropriate Compliance Monitoring Plan to ensure completeness and accuracy.
- Carry out the compliance plan and conduct regular monitoring of the aggrieved areas
- Conduct and ensure that monitoring is conducted in line with the approved annual monitoring plan

**ENSURES COMPLIANCE REPORTING, POLICIES & PROCESSES**
- Contribute to the review of all critical Compliance policies on an annual basis, in respect of the areas specifically assigned to this role. In addition, the Investment Compliance Policy Register must be appropriately maintained.
- Contribute to the initiation and/or participate in the appropriate implementation of critical statutory projects relevant to Investment Compliance
- Providing reports, regular and ad hoc to Divisional/Business unit Management, Group Compliance and other relevant forums
- Contribute to the review of all critical Compliance policies on an annual basis, in respect of the areas specifically assigned to this role. In addition, the Investment Compliance Policy Register must be appropriately maintained.
- Contribute to the initiation and/or participate in the appropriate implementation of critical statutory projects relevant to Investment Compliance
- Providing reports, regular and ad hoc to Divisional/Business unit Management, Group Compliance and other relevant forums
- Ensure compliance obligations are factored into contracts with external suppliers/service providers, where applicable
- Implement and provide input into governance processes, systems and legislation within area of specialisation.
- Assisting with the preparation and submission of the statutory reports to regulatory authorities (FAIS, NCR, JSE).
- Escalate unresolved policy and governance compliance issues via appropriate channels for investigation and resolution purposes.
- Loading and maintenance of the pledge register.
- Providing professional advice / guidance to business - query management
- Providing compliance into the onboarding of IFAs.
- Assistance with the collection of documentation and information for external monitoring and regulatory inspections.
- Providing compliance input to due diligence reports.
- Assists with administration of governance committees.

**COMPLIANCE ENABLEMENT, RESEARCH AND TRAINING**
- Keeping abreast of compliance obligations and new developments in the compliance landscape.
- Identify and then notify relevant stakeholders of compliance training opportunities.
- Provide ongoing training support to stakeholders to ensure that all staff members are trained in respect of regulatory obligations.
- Maintain good working relationships with regulators and Group Compliance to ensure consistency of information presented and to avoid

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