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Cape Town: Compliance Officer posted by Hire Resolve

Date 2024-12-07
Job Title Compliance Officer
Employer Hire Resolve
More Information
Salary 0
Category Finance Accounting
Location Western Cape
/ Cape Town

Job Summary

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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