Senior Compliance Manager

Responsibilities

• Drafting, Adoption and Implementation of the Regulatory Universe annually
• Drafting, Adoption and Implementation of the Monitoring Plan annually
• Compiling and Reporting to various Regulators as required, timeously such as CRS (Annual), NCR (Form 39, Form 40, AFS, Annual Compliance Report, BBB-EE), FSCA
• (FAIS Rep Register, Annual Compliance Report, AFS, Online Reporting), HLAMDA (Quarterly Report, Annual Report), CIPC
• Drafting and obtaining Sign off EXCO Compliance Report –Quarterly
• Reporting to Head Office Internal Control, Legal and Compliance department as and when required
• Assisting the Chief Compliance Officer with various general compliance related matters
• Management of General Compliance Related Head Office documents with implementation or drafting applicable requirements
• Updating and Maintaining Regulatory Register
• • Conducting training on various legislation, regulations or supervisory body
• requirements as and when required
• Conduct compliance monitoring, obtain sign off of Final Report and ensuring timeous remediation of identified findings, updating Compliance Findings Schedule
• Drafting, Adoption and Implementation of various policy and procedure
• Providing guidance/advise/recommendations/suggestions to business departments on various general compliance related matters
• Reviewing and providing guidance on various documents, agreements and other to business departments
• Conducting research on various legal and general compliance matters
• Creating awareness on various legal and compliance matters
• Liaising with various regulators such as PA, FSCA, SARB, SARS (CRS), NCR, etc.
• Attending external regulatory and industry meetings such as BASA, SARB, PA, PASA, FSCA, FSTC, IBA, etc.
• Conduct various Gap Analysis on various legislation, regulations and supervisory body requirements as well as implementation thereof
• Members of various internal committees
• Collation of SARB/ Prudential Authority requests and submission thereof timeously
• Attend to various regulator/ supervisory body surveys, questionnaires
• Obtaining recognition of Qualifications, Representatives or Key Individuals from FSCA
• Maintaining FAIS License by attending to various matters
• Assisting with maintenance of ODP License
• Providing information to various regulators/ supervisory bodies for requests or other information required
• Assisting with Company Secretarial matters such as addition/removal of directors
• Updating of COR 39, Annual Report & CM49, liaising Head Office Company Secretary
• Ensure all fees are paid timeously to various regulators
• Lead or Assist with Compliance Related Projects as and when required

Requirements

• Bachelor's degree in Finance or Law
• Member of the Compliance Institute of South Africa
• Licensed Compliance Officer accreditation with the FSCA
• 5 years’ experience in regulatory compliance role working in a bank
• RE1/ RE 5 certified
• Experience in a FAIS environment is necessary
• Only SA Citizens will be considered