Job Description

Requirements:

• Relevant degree (candidates without a relevant degree with extensive compliance experience may be considered).
• Computer literate and must be proficient in MS Office (required).
• Experience in a risk, legal or compliance role in a category I or II financial services provider environment (required).
• FAIS Approved Category I and II Compliance Officer (required).
• Compliance or risk management qualification or designation (advantageous).
• Knowledge and understanding of legal principles and ability to interpret legislation (required).
• In depth knowledge of the requirements, implementation and application of FAIS, FICA, TCF, PoPIA.
• Knowledge and understanding of compliance risk management principles (required).
• Knowledge and understanding of the Financial Services Industry (required).
• Knowledge of other legislation applicable to the business, e.g. Collective Investment Schemes Control Act, Companies Act, employment law (advantageous).
• Excellent verbal and written communications skills.
• Attention to detail.
• Ability to learn and adapt quickly.
• Analytical skills and the ability to work in a methodical and organized manner.
• Ability to work independently and under pressure.
• Proactive and resourceful and takes initiative.
• Willingness to perform a wide variety of tasks and to continuously learn and improve.

Responsibilities and expectations but not limited to:
Compliance:

• Establishing, implementing, and maintaining a regulatory compliance management framework and function within the business in accordance with the overall risk management framework and group and license holder requirements.
• Creation of compliance risk management plans and the monitoring of compliance in terms thereof.
• Management of compliance functions within the various regions of the business, where applicable, and external compliance providers.
• Assisting business in creating processes to mitigate the identified compliance risks within the business.
• Drafting and implementation of compliance policies.
• Drafting, implementing and managing annual compliance management plan.
• Training of employees on compliance policies and legislation, including the drafting of training material.
• Addressing compliance related queries from within the business.
• Creating a compliance culture within the business.
• Reporting to management, the Old Mutual Group, and the relevant regulators on compliance on the business.
• Advising business on regulatory changes which may impact compliance management within the business.
• Establishing and maintaining relationships with regulators and other internal and external stakeholders.
• Complaint investigation and management.
• Administrative duties related to the above.

Operational Governance:

• Assist with the operational implementation of the Group Governance Framework.
• Draft and review operational governance policies.
• Manage operational governance processes, e.g. drafting and updating of delegation of authority.

Please note should you not receive a response within two weeks of applying you may assume that your application was unsuccessful.

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