A Leading Financial Services Client requires a Regulatory Compliance Officer to join their dynamic team responsible for implementation and maintenance of the compliance strategy and programme.
Responsibilities
- Ensure and assist with fulfilling the approved Compliance Programme
- Provide guidance on existing and forthcoming legislation and policies
- Draft and/or maintain Compliance Policies and related Standard Operating Procedures (SOPs)
- Draft and/or maintain Compliance Risk Management Plans (CRMP), Preparation of compliance reports (e.g. Board reports, regulatory reports, etc.).
- Maintenance of relevant regulatory registers (e.g. representative register, breach register, etc.)
- Provide training to business using appropriate modalities as required
- Matric / Grade 12
- Degree in legal, audit, risk management or commerce and/or a professional designation
- 3+ years relevant experience, with most of it preferably in asset management
- Experience with Software applications including email, Powerpoint, Microsoft Excel and Word
- Experience with CURA, SharePoint and CRM would be advantageous
- Regulatory Knowledge and Awareness, as applicable to the business
