Regulatory compliance specialist centurion

Centurion, Gauteng

R 300000 ZA Per annum

Are you based in the United States? Select your country to see jobs specific to your location. Regulatory Compliance Specialist Centurion Through their client-facing brands of wellness and rewards programme, in addition to their other specialist brands, our client enables business and people from all walks of life to achieve their financial goals and life aspirations. They help people grow their savings, protect what matters to them and invest for the future. They also help companies and organisations care for and reward their employees and members. Through their own network of advisers or via independent brokers and utilising new platforms our client practical financial solutions for people, communities, and businesses. The purpose of this role is to, with the guidance and direction of the Head of Compliance; assist with the implementation and maintenance of the necessary processes and procedures in relation to all aspects of the relevant acts, as agreed, in order to provide assurance on the level of regulatory compliance. This role will report into the Head of Regulatory Compliance. Provide Assurance: To provide assurance that the relevant licenses are compliant In order to achieve this, the following activities will be required: Initiate and contribute to the review of, and properly maintain the Compliance Requirement Universe for the relevant acts assigned to this role for the applicable licenses, in order to ensure the accuracy and completeness of this universe Initiate and contribute to the review of all critical policies in relation to the relevant acts, as may be required from a regulatory compliance perspective, in respect of the areas specifically assigned to this role Participate in the review and/or development of an appropriate Compliance Monitoring Plan for the relevant acts, in order to ensure completeness and accuracy. The proper maintenance of the Compliance Monitoring Plan must be initiated where appropriate; and cognisance to the combined assurance initiatives must be given during the review process. Contribute to, implement, and maintain, where appropriate in respect of the areas specifically assigned to this role, the regulatory compliance breach management and follow-up process which will at a minimum address the identification, analysis, and resolution processes to be followed as well as the escalation procedures. Contribute to, implement, and maintain, where appropriate in respect of the areas specifically assigned to this role, the process to ensure that the reporting of compliance activities and instances of non-compliance, both internal and external, are relevant, complete, accurate and to the point, and submitted on time Contribute to, initiate, and maintain, where appropriate, in respect of the areas specifically assigned to this role, regular Interaction with internal and external stakeholders as well as the wider compliance community within the Group. Stakeholders include, amongst others, the following: Regulators, Supervisors, Industry bodies, Internal & External Audit, Clients, Trustees, etc. Contribute to the initiation of critical statutory projects relevant to the entity and act in question, in respect of the areas specifically assigned to this role and monitor the appropriate implementation thereof by the business. Provide Support Services To provide support services to all relevant stakeholders within (Value Add), in respect of the areas specifically assigned to this role Contribute to, initiate and/or provide appropriate awareness and training in respect of the areas specifically assigned to this role. Activities may include, amongst others, informing the business of new compliance requirement developments, providing guidance on the potential impact thereof, and to identify compliance risks/weaknesses in general for which the business should consider additional mitigating action, or processes and/or procedures Contribute to, initiate and/or provide professional advice and guidance to business as may be required from time to time, in respect of the areas specifically assigned to this role Initiate and/or contribute and/or prepare the necessary for the submission of business enabling statutory applications to applicable regulatory and industry/supervisory bodies, in respect of the areas specifically assigned to this role Participate in and/or contribute to the provision of appropriate support in respect of all projects initiated by the business which requires compliance's input, in respect of the areas specifically assigned to this role, in order to ensure successful implementation thereof People Coaching of junior staff / Skills development and knowledge sharing Contribute to and initiate skills development and knowledge sharing and training within the Regulatory Compliance team, in respect of the areas specifically assigned to this role. Activities, amongst others, may include the sharing of knowledge within the greater compliance team, in respect of the areas specifically assigned to this Role, etc. A relevant degree (Law degree preferred)Relevant Compliance qualifications and certifications(experience as appointed compliance officer for CAT III license preferred)Strong preference for experience in FAIS, LTIA, PPR's and / or CISCA. Exposure to FICA, PFA, POPIA beneficial At least 5 – 8 years relevant compliance/risk management experience in an Asset Manager / CIS Manco / LISP environment (working knowledge)Additional information The key responsibilities of this role is to assist in ensuring that the various business units or legal entities comply with the various legislation as relevant to especially the CAT III license. The role may provide consultation to management and entities within the broader Group of companies. Compliance monitoring is done through various means including statistical sampling. Regular compliance reporting is done to management and various Governance forums. It is expected from this role to provide mentorship to less experienced compliance team members. This role will be expected to interact with officials within as well as outside of the organisation ranging from the Board of Directors, Trustees, and executive level to clerical level. The number of jobs in each salary range for all: Accredited Resource Consulting Services Ltd

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