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    • Compliance Officer - Johannesburg - Neo Brokers (Pty) Ltd

    Neo Brokers (Pty) Ltd
    Neo Brokers (Pty) Ltd Johannesburg

    1 month ago

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    Description

    Compliance Officer

    A key role in ensuring the company adheres to laws and industry standards.


    Key Responsibilities

    • Develop Compliance Programs: Create, implement, and maintain compliance programs, policies, and procedures to adhere to laws and industry standards.
    • Monitor Regulatory Changes: Stay up-to-date with regulatory changes and industry trends to identify potential compliance issues and recommend corrective actions.
    • Conduct Risk Assessments: Conduct regular risk assessments and audits to evaluate control effectiveness and suggest improvements.
    • Investigate Non-Compliance: Investigate allegations of non-compliance and recommend corrective measures.
    • Provide Compliance Guidance: Offer guidance to employees on laws, policies, and ethical standards.
    • Create Training Programs: Develop training programs to educate employees on compliance responsibilities.
    • Collaborate with Teams: Work with cross-functional teams to address compliance issues and implement solutions.
    • Maintain Compliance Records: Keep accurate records of compliance activities, including audits and training.
    • Liaise with Authorities: Engage with regulatory authorities and stay informed on best practices.
    • Submit Regulatory Filings: Submit required regulatory filings and reports.
    • Track Compliance Metrics: Monitor compliance metrics and KPIs to evaluate program effectiveness.
    • Perform Due Diligence: Conduct due diligence for third-party vendors to ensure compliance.
    • Respond to Inquiries: Respond promptly to compliance inquiries from stakeholders.
    • Review Marketing Materials: Review marketing materials for compliance with regulations and policies.

    Requirements and Qualifications

    • Education: A bachelor's degree in law or a related field; an advanced degree or certifications in compliance are preferred.
    • Experience: Experience in compliance, risk management, internal audit, or regulatory affairs.
    • Knowledge: Strong understanding of relevant laws and industry standards, particularly in Fintech.
    • Industry Knowledge: Familiarity with working with the FSCA.
    • Skills: Analytical and problem-solving skills to address complex compliance issues.
    • Communication: Excellent communication skills for effective interaction at all organizational levels.
    • Attention to Detail: Detail-oriented in documentation and compliance activities.
    • Teamwork: Ability to work independently and in teams while managing multiple priorities.
    • Integrity: High integrity and professionalism in handling sensitive information.
    • Technical Skills: Proficient in compliance management tools/protocols/procedure.

    Full-time office position based in Four Ways, Johannesburg.

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