Posted 17 May 2022
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Mid-SeniorCompany primary industryFinancial ServicesJob functional area
Applications are invited for a Senior Compliance Officer. Reporting to the Head of Compliance, the primary purpose of this position is to manage the compliance framework and related policies, procedures, and processes. In the short-term this position will not manage people. However, in the medium to longer term a compliance analyst and/or any compliance intern could report into this position.
The successful candidate will support the Head of Compliance with the following elements in the compliance framework:
- Developing and implementing Compliance Risk Management Plans
- Conducting impact assessments for new and (amendments to) existing regulations
- Developing and implementing compliance monitoring and control testing
- Documenting and maintaining the regulatory universe
- Reviewing and approving marketing materials and external communications
- Identifying, assessing, and reporting of material compliance risks
- Assisting management to develop controls to mitigate compliance risks
- Promoting a compliance culture within the organisation
- Providing advisory services on an ad hoc basis
- Reviewing policies and maintaining the policy approval framework
- Keeping abreast of regulatory developments
- Drafting compliance reports
- Providing inputs to the combined assurance process
- Regulatory engagements and submissions
- Reviewing business conduct and governance practices
- Managing the whistleblowing hotline and actioning of any reports received
- Ensuring the delegation of authority framework is up to date
- Maintaining the Compliance Manual
- Assisting with the completion of self-assessments
- Conducting training and awareness sessions and developing training material
The senior compliance resource must have a law (LLB) degree and with a minimum of 3 to 5 years’ related compliance experience. Experience in developing and implementing the compliance framework and performing compliance monitoring is an important requirement of the position. The incumbent must be a member of the Compliance Institute. A compliance diploma coupled with experience in deploying compliance software will be an advantage.
We have offices regionally in Cape Town, Durban and Johannesburg. The Head office is based in Rosebank, Johannesburg. This position will be based at head office.
In exchange for the candidate’s successful services, FEM offers a competitive total cost to company remuneration with good benefits.
Applications may not be considered if the minimum criteria of the position are not met. People with disabilities are welcome to apply. FEM promotes the principles of Employment Equity, and the appointment of this candidate is at FEM’s sole discretion.