Hire Resolve is seeking a skilled and experienced Compliance Officer to join our client, a leading global financial services company. This is an exciting opportunity for a compliance professional to play a critical role in ensuring regulatory adherence and fostering a strong culture of compliance within a dynamic and fast-paced organization. The successful candidate will collaborate with stakeholders to implement compliance strategies, manage risk, and uphold the highest standards of integrity across the business.
Responsibilities
Maintain critical compliance registers, such as those for representatives and breaches.
Offer guidance on the interpretation and application of laws and regulations.
Assist in integrating systems like CURA into compliance operations.
Conduct compliance reviews in alignment with the Compliance Monitoring Plan using structured sampling methods.
Create and maintain Compliance Risk Management Plans (CRMPs) tailored to legislative requirements and organizational standards.
Familiarity with additional legislation, including the Financial Markets Act and JSE Membership Rules, is a plus.
Support the execution of the Compliance Programme, including adherence to the Compliance Framework, Compliance Plan, and Monitoring Plan.
Develop and sustain a strong culture of compliance throughout the organization.
Provide specialized knowledge in key legislation affecting asset management, such as the Financial Advisory and Intermediary Services Act (FAIS) and related Codes of Conduct for Cat 2 and Cat 2A FSPs, Financial Intelligence Centre Act (FICA), and Protection of Personal Information Act (POPIA).
Compile comprehensive compliance reports, including those for Board and regulatory submissions.
Lead investigations into compliance breaches and prepare detailed reports for resolution and remediation.
Design and deliver compliance training sessions through appropriate channels, such as in-person workshops or online platforms.
Draft and update Compliance Policies and Standard Operating Procedures (SOPs).
Requirements
Work effectively with team members and build strong partnerships across the business.
Manage and resolve issues in a constructive and effective manner.
Ensure controls and processes meet all regulatory standards.
FSCA registration or supervision as a FAIS Cat 2 and/or Cat 2A Compliance Officer is advantageous.
Identify opportunities for enhancing compliance processes.
Skilled in Microsoft Excel, Word, and PowerPoint.
Experience in executing compliance strategies and monitoring activities under guidance.
Deliver clear and concise compliance-related information to stakeholders.
A minimum of 57 years of relevant experience, ideally within the asset management industry.
Knowledge of tools like CURA, SharePoint, and CRM systems is beneficial.
Ability to interpret, apply, and integrate regulatory requirements into organizational processes.
A bachelors degree in law, risk management, commerce, or auditing. Professional qualifications in compliance (e.g., CPrac, CProf) are highly regarded.
Work efficiently under pressure while balancing multiple deadlines.
Benefits
Salary:
Negotiable
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