Compliance Officer

1 week ago

Cape Town, South Africa Momentum Metropolitan Holdings Limited Full time
Job title : Compliance Officer (Bellville)Job Location : Western Cape, BellvilleDeadline : December 26, 2024Quick Recommended Links
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Requirements

  • LLB degree or degree recognised by the FSCA for a compliance officer
  • Registered as a compliance officer with the FSCA or capable of becoming registered (preferred)
  • Compliance Officer: 5-10  years’ Compliance experience in the financial services industry

Duties & Responsibilities

INTERNAL PROCESSES

  • Identify, measure, monitor and report business compliance risks with the support of the business.
  • Assist business with translating compliance related matters into actionable policies and procedures.
  • Submit regulatory compliance reports to regulators where applicable.
  • Reporting on and providing accurate and complete information to stakeholders in respect of regulatory matters and compliance risks as well as compliance breaches.
  • Compile an annual monitoring plan and present for approval by the relevant executive committee.
  • Conduct and ensure that monitoring is conducted in line with the approved annual monitoring plan.
  • 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.
  • Monitor and measure compliance performance by the 1st line of defence, and ensure appropriate mechanisms are in place to identify and address non-compliance by the 1st line of defence.
  • Monitor whether a complaints handling process developed by business is in line with regulatory and legislative obligations.
  • Maintain good working relationships with regulators and Group Compliance to ensure consistency of information presented and to avoid any future contradictions within MML.
  • 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.
  • Keeping abreast of compliance obligations and new developments in the compliance landscape.

CLIENT SERVICES

  • Provide authoritative, expertise and advice to clients and stakeholders in respect of achieving the business strategy.
  • Build and maintain relationships with clients and internal and external stakeholders
  • Define service practices which builds rewarding relationships, encourages innovation and allows others to provide exceptional client service.
  • Deliver on service level agreements made with clients and internal and external stakeholders in order to ensure that client expectations are managed.
  • Make recommendations to improve client service and fair treatment of clients within area of responsibility.
  • Participate and contribute to a culture which builds rewarding relationships, facilitates feedback and provides exceptional client service.

PEOPLE

  • Create a positive work climate to maximise collaboration within the team and within the business.
  • Demonstrate exemplary leadership behaviour, through personal involvement, commitment and dedication in support of organisational values.
  • Drive a culture that guides and directs best practice, fostering an environment of continuous learning, improvement and cohesiveness.
  • Enable a learning and growth culture whereby information regarding successes, issues, trends and ideas are actively shared between team members.
  • Encourage innovation, change agility and collaboration within the team.

FINANCE

  • Contribute to the development of area specific budgets to minimise expenditure, in alignment with operational plans.
  • Identify solutions to enhance cost effectiveness and increase operational efficiency.
  • Implement and provide input into governance processes, systems and legislation within area of specialisation.
  • Escalate unresolved policy and governance compliance issues via appropriate channels for investigation and resolution purposes.
  • Provide input into the risk identification processes development and communicate recommendations in the appropriate forum.

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