Job Description

JOB TITLE

SENIOR SPECIALIST: COMPLIANCE

LOCATION

JOHANNESBURG

INDUSTRY

FINANCIAL SERVICES

 

 

PURPOSE OF ROLE:

 

To promote an appropriate Compliance culture to assist the company to remain compliant with: FMA, FSR, FICA, Insurance Act, POPI, JSE, and associated obligations, risk & compliance policies and procedures.

 

 

MAIN ACTIVITIES AND RESPONSIBILITIES:

 

The responsibilities will be varied and include the following critical performance areas:

 

  • Advising on compliance matters
  • Compile quality compliance risk management plans
  • Reporting, reporting of the level of compliance to each applicable act, to operational management and the head of relevant business units
  • Issue tracking, maintenance of the issue tracking database
  • Training, preparing on-line compliance training programme for all staff in the relevant business units
  • Managing breaches and risk exposures, corrective action
  • CURA updating
  • Ensure JSE Registered Officers are registered, de-activated, suspended or details updated as required
  • Maintenance of user access list on the BDA system for the JSE
  • Assist with JSE surveillance queries and other queries from regulators
  • Assist with regulatory reviews, inspections and investigations
  • Compliance Inductions of new staff
  • Compile a draft compliance report for submission to the risk and management committees based on information obtained and submit same to the Head of Compliance for review and finalization

 

 

SCOPE:

Full-time position

 

 

REQUIREMENTS:

 

QUALIFICATIONS AND EXPERIENCE REQUIRED:

 

  • B Com, B Com (Law), LLB or equivalent degree
  • Must be registered with the FSCA as an approved Category 1 Compliance Officer and have passed JSE Equity Compliance exams
  • 3 - 4 years post graduate experience in Commerce or Law
  • Additional compliance-related experience in the financial services industry of 2 - 3 years

 

Knowledge, Skills & Competencies:

  • Regulatory and financial crime compliance
  • Financial Markets Act, Insurance Act and Protection of Personal Information Act
  • Team player
  • Proactive and responsive
  • Conceptual thinking
  • Financial awareness
  • Innovative thinking
  • Living the brand
  • Results orientation

 

*Please note that only shortlisted candidates will be contacted.

 

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