Compliance Specialist (Market Conduct)

Location : Menlyn, Gauteng, South Africa

Introduction : To analyse and Monitor Market Conduct risk indicators and to ensure that these risks are mitigated

CTC : R23000-00 p.m

Closing Date : 11 January 2022

Specification

Duties & Responsibilities:

• Contribute to the efficient and effective functioning of Compliance Function
• Assist manager to ensure that compliance function are in compliance with law and industry and regulatory body requirements
• Promote prevention of legal and regulatory risk in the company (TCF)
• Maintain efficient and effective operations in Compliance
• Validate that policies and procedures with regards to Compliance Function are being adhered to. (TCF)

Attend to regulatory and client complaints (TCF)

• Assist with investigation of regulatory and clients complaints (Ombudsman cases)

Responsible for Compliance Monitoring and Reporting

• Monitor compliance risk, policies and procedures at Head Office and branches of the company’s Group
• Complete monitoring reports for Compliance Manager
• Provide overall compliance assistance, guidance and advice to the company’s Group of Companies
• Contribute to the development of compliance risk management plans
• Contribute to the completion of compliance reporting (internal and regulatory)

Provide Training and Awareness on Compliance Matters

• Create awareness in the company’s Group of Companies with law requirements (TCF)
• Inform employees about relevant compliance matters
• Develop, educate and enabling healthy and business orientated compliance culture

Co-ordination of departmental communication

• Liaise between managers, team and other teams
• Follow-up on responses and reports from managers
• Handle and screen all incoming telephone calls and respond appropriately
• Attend to normal telephonic enquiries
• Manage incoming correspondence from the regulator or any other industry body
• Manage in-and outgoing post
• Department communication

Performance of secretarial duties and administration

• Prepare, manage and control the departmental budget
• Prepare and consolidate reports
• Prepare documentation e.g. reports, presentations and memos
• Draft letters
• Distribute documentation e.g. reports and memos
• Liaise with internal and external stakeholders and executives, directors, committee members, company secretary and others, where appropriate
• Assistance with the organisation of internal and external meetings prior to and during the event
• Coordinate arrangements for visitors, as necessary
• Preparation for meetings: Preparation of meeting packs (agenda, minutes and other required material)
• Take minutes at meetings and distribute minutes where necessary
• Make travel and accommodation arrangements when required

Assist with queries

• Assist with queries of the Compliance, Complaints and Broker Advisory and Intermediary Services Relations (BAISR) departments from the various the company departments on a daily basis

General office administration

• Maintain files and record keeping systems
• Order appropriate stationary for office
• Ensure photocopier- and fax machine is in working order for all to use
• Logging of Service Desk requests to the Facilities and IT departments
• Ensure payment of all service providers

Requirements

Formal Education

• Legal Degree / equivalent
• Admitted Attorney (advantage)
• Compliance Certificate (Advantage)