Investments Compliance Officer (AML Reporting Officer and Data Protection)

 

Recruiter:

Rory Mackie & Associates

Job Ref:

4069315552

Date posted:

Monday, August 8, 2022

Location:

Cape Town, South Africa


JOB SUMMARY:
-

JOB DESCRIPTION:

The Investment Compliance Officer role is a combination of a Money Laundering Reporting Officer as well as the Deputy Information Officer (Data Protection) across the retail and institutional businesses for our client in SA.

Key Responsibilities

  • Handling of all anti-money laundering matters for our client’s South African business, providing a compliance and legal advisory function to the business (both retail and institutional) as well as managing the business’ client complaints process and information breaches
  • Dealing with all business, client, compliance, and legal queries, including but limited to areas of AML, FAIS, administrative rejections, retail product queries as well as advising the business in respect of any non-compliance and ensuring compliance with existing business rules and regulation
  • FICA / AML reviews and updating of checklists and policies and processes for SA in line with relevant legislation
  • Attending to all due diligence requests for our client’s FICA and providing, certifying the requested documentation
  • Reporting all cash transactions, terrorist financing and proliferation identified in daily Money Laundering Reports to the Financial Intelligence Centre (FIC)
  • Monitoring and reporting on all restructures and take-on’s of institutional clients to ensure compliance with FICA/FIA
  • Receiving, investigating and responding to client and Ombuds complaints. Maintaining the complaints register, ensuring all complaints are reported and manging monthly complaints oversight meetings
  • Provide AML training across the business
  • Dealing with and reporting on data protection breaches and record keeping in line with regulatory requirements

Technical Knowledge and Experience Required:

  • Relevant Legal/ Financial Degree
  • Minimum 5 - 8 years’ experience and working knowledge of AML (local and/or global)
  • Preference will be given to a candidate who has previously or currently employed as an AML officer within the financial services sector

System Skills:

  • Knowledge of investment (trade order management, pre and post trade systems) and unit trust administrative systems will be an advantage
  • Knowledge of AML screening systems

Personal Attributes:

  • Independent thinker
  • Hardworking
  • Flexible
  • Detail orientated
  • Well organised
  • Communication and Interpersonal Skills

 

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



 

 

 

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