Business Enablement: Compliance

SUMMARY:
Our client in the Financial Services sector based in Sandhurst is currently looking to employ a Business Enablement: Compliance.

A wonderful career opportunity awaits you.

Salary up to R420 000 per annum.

POSITION INFO:
Requirements:

• Relevant degree (candidates without a relevant degree with extensive compliance experience may be considered).
• Experience in Compliance in the Financial Services Industry.
• Experience in Financial Planning would be an advantage (Certified Financial Planner would be a benefit) but not a pre-requisite.
• Computer skills and must be proficient in MS Office.
• In-depth knowledge of the requirements, implementation and application of FAIS, Risk Based Approach towards Customer Due Diligence, and PoPIA rules and regulations Knowledge and understanding of financial services.
• Excellent verbal and written communications skills.
• Proactive and able to take ownership and accountability.
• Attention to detail.
• Ability to learn and adapt quickly.
• Analytical skills and the ability to work in a methodical and organised manner.
• Ability to work independently and under pressure.
• Deadline driven.
• Resourceful and takes initiative.
• Problem solving skills.
• Willingness to perform a wide variety of tasks and to continuously learn and improve.

• Internal Review: in conjunction with the external compliance officers audit Partner Directed company cases and large deals against the company questionnaires to ensure that all cases are compliant before commission is released to Partners.
• External Review: Manage external compliance officers and analyze compliance reports received from them.
• Give guidance (written and verbal) to Partners, Partner Operations Managers and Business Development Managers on how best to meet quality company requirements to improve their compliance scores.
• Creating, implementing, and maintaining processes to meet regulatory requirements and mitigate the identified company risks within the business.
• Establishing and maintaining relationships with internal and external stakeholders.

• Maintain a compliance framework in collaboration with stakeholders (both internal and external).
• Analysis of legislation and application thereof and advising business on regulatory changes which may impact compliance management within the business.
• Assist in maintaining the competency register.

• Analyse all company audit scores (internal and external) and reports received to determine where the risk in company dispensed in the business is and report to the Key Individual Team on the outcomes and how this risk is managed.
• Identify potential compliance breaches and investigate compliance irregularities or areas of concern.
• Addressing regulatory compliance requirements related queries from within the business.

• Implementation and monitoring of a Partner Compliance Dashboard to highlight elements of key risks identified.
• Participation in the company Risk Committee in formulating compliance procedures and focus areas to cover areas and / or themes of risk Monthly / quarterly reporting to the Key Individuals and relevant stakeholders.
• Manage Partner Monitoring team tasks (company monitoring and Compliance Officer tasks) to ensure that risks identified are remediated by the Financial Planning Partner. Engaging with the respective Partner Operations Managers and / or Business Development Manager should the need arise.

• Proactively research and gain in-depth knowledge of the approved company tool and solutions to engage and guide Partners, Partner Operations Managers and Business Development Managers to drive higher approved company adoption rates amongst Partners.
• Fulfil the central role in ensuring that the planning tools used by the Advisors meet all compliance and legislative requirements. – establishing and maintaining relationships with relevant stakeholders in the business to ensure that planning tools are both effective and compliant.

• Maintain the compliance and procedure manuals and all artefacts published on the internal intranet for Advisor offices.
• Administrative duties related to all the above.

NB! This job is now closed. You can apply for other jobs by uploading your CV.