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    • compliance officer - Sandton - HR Genie

    HR Genie
    HR Genie Sandton

    1 month ago

    HR Genie background
    Description

    Compliance Officer Role

    Key Requirements:

    • Bachelor's degree in Law, Finance, Economics, Business Management or related fields.
    • Registered Phase 1 Compliance Officer with the Financial Services Conduct Authority (FSCA).
    • Certificate in Compliance Management is advantageous.

    3-5 years of experience in a compliance function within the financial services industry, preferably with knowledge of non-life (short-term) insurance. Bilingualism (fluent in English and Afrikaans) is also beneficial.

    Main Responsibilities:

    People:

    • Training and Education:
      • Develop and deliver training programs on compliance-related topics to ensure employees understand compliance policies and relevant laws and regulations.
    • Communication:
      • Serve as the point of contact for compliance-related questions and build strong relationships with financial advisors, providing clear guidance on compliance matters.
    • Fostering a Compliance Culture:
      • Promote a culture of compliance and ethical behavior within the company.

    Processes:

    • Regulatory Risk Management support:
      • Develop and implement a compliance coverage plan based on the approved regulatory framework.
      • Implement necessary actions to achieve compliance plan objectives.
      • Maintain compliance policies, procedures, and documentation.
    • Licensing and profile changes:
      • Submit license profile changes to the Regulator in a timely manner.
    • Monitoring:
      • Conduct monitoring according to the agreed-upon compliance coverage plan.
      • Maintain compliance registers and compile a monthly file monitoring schedule.
      • Liaise with internal departments and provide monitoring feedback to financial advisors.
      • Review internal monitoring process and results, identifying trends and risks for the company.
    • Ad hoc support for Compliance projects:
      • Assist the Compliance Manager with any compliance project.
    • Reporting:
      • Compile internal compliance reports on all compliance activities and risks.
      • Report to the regulator and other industry bodies.
    • Recordkeeping:
      • Store compliance records securely on SharePoint.
      • Maintain compliance documentation on the intranet.
    • Training and Awareness:
      • Assist the Compliance Manager with compliance training and awareness initiatives.
    • General:
      • Stay up-to-date on regulatory matters through webinars and newsletters.
      • Attend regular compliance meetings as required.
      • Address general compliance queries from advisors and escalate where necessary.
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Compliance officer