ompliance Officer
Sandton

Have a good understanding of the governing legislation and the operation of the financial services industry.

Assisting the business to comply with all applicable regulatory requirements, which includes the following:

· Identification of legislation impacting the business and compiling a regulatory risk profile.
· To maintain legislative universe for applicable business units
· To provide business with compliance updates regarding new pieces or existing legislation.
· Draft and update Compliance Risk Management plans for the business as required.
· Develop of Compliance monitoring plan for the specific business
· Conduct compliance monitoring in terms of the approved Compliance monitoring plan.
· Adherence to monitoring plan and objectives against the approved compliance coverage plan.
· Reporting to management on the level of regulatory compliance in the business units.
· Compiling business unit specific advice.
· Discussion of non-compliant findings with management.
· Tracking of non-compliant findings until resolved
· Ensuring that existing and new policies, processes and procedures are compliant with identified regulatory requirements.
· Making recommendations to management on improving controls to minimise regulatory risk.
· Liaising with the relevant regulators.
· Assisting in facilitating on site reviews/visits by Regulators.
· To maintain the Compliance Intranet site with applicable documentation, company policies and procedures and articles of interest.
· To maintain a compliance manual for applicable business units.
· Update and maintenance of representative registers and any applications and/or profile changes

Qualification
· B Com or LLB or equivalent is essential.
· Post graduate diploma in Compliance Management will be advantageous

Experience
· 2 to 4 year compliance experience in the financial industry

· Approved FAIS compliance officer

· FAIS Category 3 experience highly recommended

· Working knowledge of FAIS

· Pension funds Act / Long Term Insurance experience highly recommended -