Compliance Officer

Job summary – Implement and manage an effective compliance program through the development and management of risk and compliance plans.

DUTIES AND RESPONSIBILITIES
• Develop and review company policies including effective implementation of policies and guidelines
• Advise management on the company’s compliance with laws and regulations through detailed reports.
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Tracking and monitoring of key risk indicators, controls and action plans.
• Assess company operations to determine compliance risk.
• Conduct research on compliance related topics
• Develop training materials and assist with training to ensure all employees are educated on the latest regulations and processes.
• Assist in compiling risk and compliance reports
• Collaborate with other leaders on cross-functional initiatives that focus on the mitigation of compliance risks.
• Work with external partners such as Internal Audit to endure the effectiveness of the compliance function
• Assist in innovate the Compliance program and function and identify improvements to existing processes and plans.
• Provide guidance to business and assist with implementation of compliance policies and projects.
• Drafting and compiling regulatory submissions

EXPERIENCE
• LLB, Legal or Compliance qualification.
• Successfully passed the Key Individual Regulatory Examination 1 as required by the FSCA for Licensed Compliance Officers
• Phase I Approved - Category I FAIS Licensed Compliance Officer would be advantageous
• Post Graduate Diploma in Compliance Management would be advantageous
• Risk Qualifications will also be an advantage

QUALIFICATIONS
• At least 5 years’ Compliance experience in the financial services industry
• 2nd line compliance experience
• Combined assurance planning and execution will be advantageous
• 1st line compliance experience will be advantageous
• Regulatory Complaints Handling will be advantageous