Compliance Officer
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Key Responsibilities:
· Make necessary updates to KYC processes to meet regulatory deadlines.
· Oversee staff compliance, especially for supervised representatives.
· Conduct quarterly reviews, manage Fit and Proper declarations, and track training and certifications.
· Manage records of suspicious transactions.
· Maintain key policies and organize training for compliance and security.
· Plan and conduct training sessions on compliance updates.
· Oversee transaction monitoring, investigate suspicious activities, and escalate as needed.
· Report any violations of compliance or regulatory standards.
· Prepare for regulatory audits and manage reports.
· Maintain authorized signatory lists and support regulatory reviews.
· Manage processes related to FAIS licensing, including representative changes.
· Ensure FAIS disclosures and website information are accurate.
· Update the RMCP to reflect changes in business processes and regulations.
· Oversee onboarding with banking partners, ensuring all compliance steps are followed.
· Develop internal training materials for compliance.
Required Skills and Qualifications
· Matric.
· A bachelor’s degree in law, Finance, Business Administration, or a related field would be advantageous.
· Minimum 3 years of experience in compliance, risk, or legal role within financial services
· Proven track record of successfully managing compliance programs andmitigating risks.
· Experience conducting audits and preparing compliance reports for regulatory bodies.
· Excellent analytical, problem-solving, and decision-making skills.
· Strong communication and interpersonal skills with the ability to engage and influence stakeholders at all levels.
Requirements
Preferred Qualifications
· Certified Compliance Professional (CCP), Certified Regulatory Compliance Manger (CRCM), or equivalent certifications.
· Previous consulting experience with demonstrated ability to manage multiple projects.
· Experience working in a highly regulated industry.
· Knowledge of data privacy laws and information security compliance.
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