Job Description

Compliance Officer

Cape Town

*       Liaise with regulators
*       Train employees on compliance and new legislation
*       Establish and update the Compliance Manual and other procedure
*       Incorporate new legislation into existing structure
*       Determine Statutory and Management requirements applicable to
different business areas
*       Formulate and implement Compliance Risk Management Plans
*       Draw up and implement policies and procedures on various Financial
Markets regulations as required
*       Monitoring of compliance and adherence with rules, regulation,
policies, procedures and limits
*       Follow-up on and ensure corrective action in respect of monitoring
*       Work with Portfolio Managers, Operations, IT & Project teams to
Pro-actively find business solutions
*       Interact with Group Companies

Qualifications, Experience, Knowledge and skills

*         B Com (Law) or equivalent

*         Currently registered with the FSB / Compliance Officer

*         In the possession of all appropriate SAIFM Compliance

*         3 - 5 years compliance related experience in the financial
services industry

*         Experience within Private Wealth Industry

*         Stockbroking background and a CAT II license

*         Computer literate in MS Office and JSE BDA system knowledge

*         High level of accuracy

*         Excellent communication

*         Have the ability to communicate with and develop strong relations
with other departments

*       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
*       Strong analytical and logical thinking skills
*       Excellent communication and presentation skills
*       Good report writing skills
*       Strong administrative and organizational skills
*       Ability to act independently as well as part of a team
*       Pro-active approach and a lateral thinker
*       Ability to operate within a high-performance environment
*       Strong attention to detail
*       Confident and analytical ms


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