Specialist: Compliance - Pretoria, South Africa - Isilumko Staffing

Isilumko Staffing

Verified Company

Pretoria, South Africa

1 week ago

Posted by:

Thabo Mthembu

beBee Recruiter

Description

Description

Duties & Responsibilities:

Contribute to the efficient and effective functioning of the Compliance Function**- Assist manager to ensure that the compliance function are in compliance with law and industry and regulatory body requirements ito Market Conduct

Promote prevention of legal and regulatory risk in the company (TCF)
Maintain efficient and effective operations in Compliance
Validate that policies and procedures with regards to Compliance Function are being adhered to. (TCF)

Attend to regulatory and client complaints (TCF)

Assist with investigation of regulatory and clients complaints (Ombudsman cases)

Responsible for Compliance Monitoring and Reporting

Monitor compliance risk, policies and procedures at Head Office and branches of Assupol Group
Complete monitoring reports for Compliance Manager
Provide overall compliance assistance, guidance and advice to Assupol Group of Companies
Contribute to the development of compliance risk management plans
Contribute to the completion of compliance reporting (internal and regulatory)

Provide Training and Awareness on Compliance Matters

Create awareness in Assupol Group of Companies with law requirements (TCF)
Inform employees about relevant compliance matters
Develop, educate and enabling healthy and business orientated compliance culture

Co-ordination of Market Conduct function

Liaise between managers, team and other teams
Followup on responses and reports from managers
Attend to normal telephonic enquiries
Manage incoming correspondence from the regulator or any other industry body
Department communication

Performance of secretarial duties and administration

Prepare, manage and control the departmental budget
Prepare and consolidate reports
Prepare documentation e.g. reports, presentations and memos
Draft letters
Distribute documentation e.g. reports and memos
Liaise with internal and external stakeholders and executives, directors, committee members, company secretary and others, where appropriate
Assistance with the organisation of internal and external meetings prior to and during the event
Coordinate arrangements for visitors, as necessary
Preparation for meetings: Preparation of meeting packs (agenda, minutes and other required material)
Take minutes at meetings and distribute minutes where necessary

Assist with queries
Assist with queries of the Compliance, Complaints and Broker Advisory and Intermediary Services

General office administration