Snr Compliance Specialist

Snr Compliance Specialist

Reputable Asset Mgt firm seeks dedicated indiv. Be instrumental in providing sound Compliance advice to the business. Keep abreast of relevant laws and regulations that impact processes and customers. Create awareness across the business. Great culture.

Main Responsibilities:

• Create awareness of relevant laws, regulations and standards across the business.
• Understand and apply best practice frameworks.
• Identify, diagnose and recommend improvements.
• Provide advice and implement appropriate and effective solutions.
• Evaluate and report on operational and managerial processes, systems and outcomes.
• Ensure financial and operational integrity and compliance.
• Keep abreast of regulation and industry developments on key compliance risk issues.
• Recommend and advise on compliance requirements and embed in specific processes.
• Improve quality, service and work output. Continuously recommend improvements.
• Proactively identify area of specialisation related problems.
• Provide specialist expertise and advice to internal/external customers.
• Create a favourable impression aligned to Treating the Customer Fairly (TCF) principles.
• Monitor and provide feedback on the effectiveness of compliance practices.
• Preventing illegal, unethical or improper conduct.
• Comply to risk and governance policies, implement and provide subject matter input.
• Other key duties to be discussed at interview stage.

Qualifications and Experience:

• BCom in Accounts or Law or LLB. Adv Diploma / Hons, an advantage.
• 5 to 8 yrs Compliance exp in Asset Management or Investments.
• LISP and Retirement fund exp. CAT 2 and 3. FAIS - RE’s.
• Equity appointment.

Should you be interested in the role:

• Please apply online (Ditto is our database).
• For any queries, contact Bev at SET on .
• Looking forward to hearing from you.