Senior Compliance Officer

We are seeking a highly skilled and experienced Senior Compliance Officer to join our team. This role is integral to ensuring that our organization maintains a robust compliance framework within the financial services industry. The ideal candidate will have a strong understanding of financial markets regulatory requirements and a proven ability to implement and oversee compliance processes effectively.

• Assist in establishing and maintaining a comprehensive compliance function within the risk management framework.
• Develop adapt and implement policies and procedures to align with key regulations.
• Draft maintain and enhance Compliance Risk Monitoring Plans (CRMPs) Compliance Monitoring Plans (CMPs) and Working Papers (WPs).
• Monitor compliance with rules regulations policies and procedures and recommend enhancements where necessary.
• Act as an independent reviewer to identify potential vulnerabilities and risks and implement corrective action plans.
• Develop and maintain systems and tools to support the compliance function.
• Ensure adherence to regulatory deadlines and liaise with regulators as required.
• Provide training to employees on compliance matters and new legislation.
• Oversee and guide Junior Compliance Officers and Compliance Assistants on regulatory tasks.
• Perform ad hoc tasks as required.

• Bachelors degree in Law (BCom Law/LLB) or a similar qualification.
• FSCA-recognized qualification and completion of FSCA RE Exams.
• SAIFM Compliance certification is advantageous.
• Eligible for registration as a FAIS Compliance Officer and/or JSE Equity Compliance Officer.
• 57 years of compliance-related experience in the financial services industry.
• Exposure to CAT I and CAT II FSP businesses.
• Membership in the Compliance Institute of Southern Africa is advantageous.

• In-depth knowledge of financial markets legislation including FAIS JSE Equity Rules FICA/AML FATCA POPIA Regulation 28 SARB and NCA.
• Proficiency in MS Office and familiarity with compliance tools such as Co-pilot FAIS E-Portal and JSE BDA system.
• Strong analytical research and due diligence skills.
• Technical understanding of financial products and instruments.
• Ability to innovate and automate compliance processes.
• Excellent communication report writing and organizational skills.
• High ethical standards and a solutions-oriented mindset.

• Conduct compliance monitoring and reporting activities.
• Collaborate with internal teams to ensure adherence to regulatory requirements.
• Provide guidance and training to staff on compliance matters.
• Analyze and interpret new legislation integrating it into existing frameworks.
• Develop and maintain compliance tools and systems to streamline processes.
• Act as a key point of contact for regulatory bodies and internal stakeholders.

• Opportunity to work in a dynamic and high-performance environment.
• Access to professional development and growth opportunities.
• Be part of a team that values innovation integrity and excellence.
• Contribute to a company committed to transformation and diversity.

We are dedicated to helping our employees achieve their career aspirations and personal development goals. Join us and be part of a team that values your expertise and passion for compliance.