Our client, a well know financial services provider is looking for a Senior Regulatory Compliance manager who has very strong Long term Insurance Act experience and management skills. They would prefer someone who has worked in Category II, III, IV FSPs.
The purpose of this role is to implement and maintain the required processes and procedures in order to provide assurance on the level of regulatory compliance within the company.

Requirements

• BCom with specialisation in finance or investments, orLaw, or LLB with relevant compliance experience
• Relevant Insurance Industry Qualifications
• FAIS RE1,RE 3, and RE4
• The following additional qualifications will be an advantage: BCom Honours, MBA, CFA, Post Graduate Diploma in Compliance
• At least 15 years relevant compliance/risk management experience (working knowledge), amongst others, in terms of the: Long-Term Insurance environment, Asset Management environment (including Hedge Funds), Collective Investment Scheme environment, and LISP environment. Working experience in the Retirement Fund environment will be of an added advantage
• Experience in terms of the regulatory universe associated with the above-mentioned environments which, amongst others include: FATCA & CRS, Collective Investment Schemes Act, Pension Funds Act, Financial Intelligence Centre Act, Financial Advisory and Intermediary Services Act, Long-Term Insurance Act and related insurance legislation, TCF, POPI, and ASISA Codes.Standards and Guidelines
• Experience in the efficient management of a team of 4 or more professionals persons
• Be a registered as a FAIS Compliance Officer in respect of the following product categories:CATEGORY I, CATEGORY II - Discretionary FSP, CATEGORY IIA - Hedge Fund FSP (will be of an advantage, CATEGORY III - Administrative FSP
• Comply with the FAIS honesty and integrity requirements
• Not be an un-rehabilitated insolvent, have entered into a compromise with a creditor or have been provisionally sequestrated or liquidated