Description:
Our client, with more than 20 years of experience within the financial services field and a nationwide footprint, is seeking a compliance officer who will ensure that the company operates within the legal and regulatory frameworks applicable to the financial services industry.
Location:
Bellville/Bloemfontein/Pretoria.Formal Education:
Related degree (LLB, Bachelors in Law, Finance, Economics, Business Management or related fields); RE1; Registered Phase 1 Compliance Officer with the FSCA; RE3 and/or Certificate in Compliance Management (advantageous).Experience:
3-5 years related experience in a compliance function in the financial services with working knowledge of investments, health benefits, non-life (short-term) insurance and long-term insurance being an advantage.Knowledge:
Technological: Microsoft Office; Bilingual (fluent in English and Afrikaans); Products within Industry; FAIS, FICA, POPIA and related Acts in regulatory universe.Dutie s :
People:
Training: Ensuring that all employees understand the compliance policies and relevant laws and regulations. This includes developing and delivering training programs on compliance-related topics. Communication: Acting as the point of contact for compliance-related questions and building strong relationships with financial advisors. Providing clear and accessible guidance to all employees on compliance matters. Fostering a Compliance Culture: Promoting a culture of compliance and ethical behavior.Processes:
Regulatory Risk Management support: Develop and implement a compliance coverage plan based on the approved regulatory framework; Implement all necessary actions as per the plan to ensure achievement of the compliance plan objectives; Assist the Compliance Manager in the maintenance of compliance policies, procedures and other compliance documentation. Licensing and profile changes: Ensure that license profile changes are submitted timeously to the Regulator. Monitoring: Conduct monitoring as per the agreed compliance coverage plan; Monitor and or maintain all compliance registers; Compile a monthly file monitoring schedule as per the monitoring plan and report findings to the Compliance Manager; Liaise with int
19 Feb 2025;
from:
gumtree.co.za