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:
BryanstonFormal Education:
Related degree (LLB, Bachelor of Law, Finance, Economics, Business Management or related fields); RE1; Registered Phase 1 Compliance Officer with the FSCA; RE3 and Certificate in Compliance Management (advantageous).Experience:
3-5 years related experience in a compliance function in the financial services with working knowledge of non-life (short-term) insurance being an advantageDuties:
People:
Training and Education: 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 employees and financial advisors on compliance matters. Fostering a Compliance Culture: Promoting a culture of compliance and ethical behavior within Company.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 compliance 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 internal departments, co-ordinate meetings with line managers and provide monitoring feedback to financial advisors.; Conduct branch monitoring; Review internal monitoring process and results, identify trends and risks for Company; Escalate high risk findings to t
02 Mar 2025;
from:
gumtree.co.za