Compliance Officer
Cape Town
• Liaise with regulators
• Train employees on compliance and new legislation
• Establish and update the Compliance Manual and other procedure manuals
• Incorporate new legislation into existing structure
• Determine Statutory and Management requirements applicable to different business areas
• Formulate and implement Compliance Risk Management Plans
• Draw up and implement policies and procedures on various Financial Markets regulations as required
• Monitoring of compliance and adherence with rules, regulation, policies, procedures and limits
• Follow-up on and ensure corrective action in respect of monitoring functions
• Work with Portfolio Managers, Operations, IT & Project teams to Pro-actively find business solutions
• Interact with Group Companies


Qualifications, Experience, Knowledge and skills

• B Com (Law) or equivalent
• Currently registered with the FSB / Compliance Officer
• In the possession of all appropriate SAIFM Compliance certification
• 3 - 5 years compliance related experience in the financial services industry
• Experience within Private Wealth Industry
• Stockbroking background and a CAT II license
• Computer literate in MS Office and JSE BDA system knowledge essential
• High level of accuracy
• Excellent communication
• Have the ability to communicate with and develop strong relations with other departments
• Working knowledge and application experience of Financial Markets Legislation would be an advantage
• Sound decision and judgment making under pressure
• Excellent negotiation skills and diplomacy
• Operate at both a detailed and strategic level
• Excellent verbal and communication skills
• Ability to operate as a team leader or in a support role, depending on the activity
• Strong analytical and logical thinking skills
• Excellent communication and presentation skills
• Good report writing skills
• Strong administrative and organizational skills
• Ability to act independently as well as part of a team
• Pro-active approach and a lateral thinker
• Ability to operate within a high-performance environment
• Strong attention to detail
• Confident and analytical ms