Compliance Officer

Qualifications:

 

  • B Com (Law) or equivalent
  • Currently registered with the FSB / Compliance Officer
  • In the possession of all appropriate SAIFM Compliance certification
  • 3 – 5 years compliance related experience in the financial services industry
  • Experience within Private Wealth Industry
  • High level of accuracy
  • Excellent communication and interpersonal skills

 

Knowledge and experience:

 

  • Working knowledge and application experience of Financial Markets Legislation would be an advantage Sound decision and judgment making under pressure
  • Excellent negotiation skills and diplomacy
  • Operate at both a detailed and strategic level
  • Excellent verbal and communication skills
  • Ability to operate as a team leader or in a support role, depending on the activity
  • Computer literate in MS Office and JSE BDA system knowledge essential

 

Role/Responsibilities:

 

  • Liaising with regulators
  • Training of employees on compliance and new legislation
  • Establishing and updating of the Compliance Manual and other procedure manuals
  • Incorporating new legislation into existing structure
  • Determine Statutory and Management requirements applicable to different business areas
  • Formulating and implementing Risk Management Plans
  • Drawing up and implementing policies and procedures on FICA, FAIS, Financial Markets Act etc.
  • Monitoring compliance and adherence with rules, regulation, policies, procedures and limits
  • Interact with Group Companies

 

Personal qualities:

 

  • Strong numerical orientation
  • Highly organized with a high level of customer focus
  • Accurate and detail orientated
  • Critical and analytical capability
  • Ability to perform well under pressure and show maturity, confidence and resilience
  • Excellent listening, communication and interpersonal skills
  • Pro-Active approach to work, clients, problem solving
  • Learning agility and curiosity
  • Assertive
  • Passionate ownership for results
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