Compliance Officer Assistant: Llb
6 days ago
2years
- Assist the Compliance Officer in embedding a culture of compliance
- Assist in the development of risk-based Monitoring Plans
- Take ownership of Compliance Monitoring
- Manage FAIS profile changes
- Report on level of compliance
- Present findings and be able to engage with Management
- Maintain Noncompliance Register
- Assist with ad hoc rollouts of compliance related Initiatives
- Assist the Compliance Officer with regulatory reviews, inspections and investigations
**Qualifications and Experience**:
- LLB
- Compliance Management Certificate or Postgraduate Diploma in Compliance (preferably)
- RE 1 (preferably)
- 2 - 3 years monitoring experience in financial services environment
- 1-year monitoring experience in Life Insurance environment (preferably)
- General knowledge and understanding of legislation in the financial services environment
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