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Regulatory Compliance Officer

Job Description

Job Description:

  • Ensure the effective implementation of the Regulatory Compliance Monitoring programme and undertake all aspects if monitoring activities.
  • Tracking of non-complaint findings with respective business unit function managers until resolved.
  • Monitor the efficiency and consistency of compliance controls and assists with the enhancements of procedures and controls.
  • Actively manage the mitigation of compliance breaches.
  • Maintain appropriate written procedure to ensure compliance with applicable legislation, regulations and group policies and to monitor adherence to such procedures.
  • Prepare training material and deliver training in compliance with regulatory obligations and business procedures.
  • Prepare compliance reports to management and various committees and governance structures within the group.
  • Prepare reports to regulatory.
  • Monitor changes in relevant legal requirements and other regulatory developments which may impact on the company and advise the Directors on their implications.
  • Provide advice to the Directors on the regulatory implications of new business areas and new products. 

 

Qualification:

Completed Tertiary qualification essential. (Ideally in Business, Finance, Law or Compliance and Risk Management.)

 

Skills & Experience:

2 – 3 years’ relevant work experience.

Strong working knowledge of FAIS, FICA and a solid knowledge of the South African Regulatory Environment in the Financial services sector.

Have the ability to work under pressure and meet deadlines.

Have good interpersonal skills.

South African citizens only.

 
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