Compliance Manager

Location: Cape Town, South Africa
Salary: Market related
Recruiter: HR Genie
Job Ref: 896445
Date posted: Friday, October 4, 2019
Summary: Senior Manager: Risk and Compliance (Global Investment Firm) - Western Cape



Job Description

Senior Manager: Risk and Compliance (Global Investment Firm) - Western Cape

Competitive package on offer!

Our Client, a Global Investment Firm is offering this exciting career prospect, to lead their SA Risk and Compliance team and to act as the Compliance and Money Laundering Compliance Officer.  Be a point of contact between the business and regulators as well as

mentor and train staff members and provide support to the Board of Directors in ensuring that regulatory requirements are met.


Purpose of Job

To provide independent compliance oversight and guidance that supports risk management to applicable business units and ensure adherence to local and business unit applicable regulations as appropriate.



-        Oversee/supervise the SA Risk & Compliance team which is responsible for operational risk management, compliance monitoring; new business reviews; production of MI and reports; provision of advice to the business; liaison with auditors; signatory list updates, signatory CDD maintenance, KYC/CDD checks

-        Approved FSCA Compliance Officer and FIC AML Officer (MLRO/CO)

-        Compliance support for primary SA legislation (FAIS/COFI, FICA, CISCA, Companies Act, PAIA, POPIA, TCF, B-BBEE and Financial Sector Code)

-        Building good working relationships with a wide range of internal stakeholders and provide compliance expertise on any changes, key decisions or risks to the applicable business units

-        Advising management team on regulatory matters and industry best practice to ensure the organisation has in place an excellent and commercial business control framework

-        Prepare and submit/oversight regulatory reporting to FSCA and CIP

-        Maintenance of the FIC Risk Management and Compliance Programme

-        Performing KYC/CDD for on-boarding new clients

-        Review and sign off new business from an AML / Risk / Compliance perspective

-        Compliance Monitoring - planning and execution thereof, recording and reporting findings

-        Participating fully in the identification and assessment of risk

-        Where appropriate, identify and communicate improvements that enhance service to clients and/or profitability

-        Carry out analysis within set parameters and produce reports, summarising trends and key messages for internal and external stakeholders advising business stakeholders of necessary action to ensure compliance

-        Chair monthly Risk Committee and facilitate completion of the Business Risk Assessment

-        In consultation with the Group Head of Risk and Compliance, issue, revise and adopt AML/CFT compliance and business Policies, Guidance and Procedures in line with developments in legislation, regulations and best practice

-        Deliver training and coaching as and when required to ensure all staff adequately demonstrate adherence to AML/CFT legislations and regulations

-        Contribute to other projects as required and any other duties as deemed necessary by Management

-        Contribute to the organisation's compliance and risk strategy and culture ensuring that a compliance culture is embedded within the business, through close personal engagements

-        Adhere to Risk & Compliance procedures in relation to regulatory requirements and AML legislation

-        Adhere to CPD requirements in accordance with qualification level and in-house procedures


Minimum Requirements:

-        Relevant Degree in Legal / Compliance / Finance

-        Minimum 7-10 years relevant risk and compliance experience gained within the financial services arena

- &


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