Minimum Requirements:
- Completed LLB degree (admitted attorney advantageous)
- Post-graduate qualification in compliance management (advantageous)
- At least three to five years experience within a compliance environment with focus on FAIS and advice.
- Understanding of the financial services and insurance industry essential.
- RE5 is advantageous
Responsibilities:
- Assist management to define, set and manage compliance framework, policies and standards specific to the function;
- Regulatory change management;
- Assist management in development and maintenance of the Regulatory Frameworks (CRMPs) for the GCSA function;
- Be responsible for the document hub in the GCSA function;
- Compliance monitoring of the applicable business unit compliance functions and assurance across the business units;
- Regulatory training and awareness, in conjunction with the training team;
- Assist management with identification and evaluation of compliance exposures/regulatory breaches;
- Keep incident and breaches register up to date;
- Assist with regulatory reporting, requests and queries;
- Assist business unit compliance with queries and guidance;
- Ensure that team annual objectives are met;
- Key liaison with product distribution compliance, legal and business unit compliance with regards to advice and services.
- Monitor the efficiency and consistency of compliance controls compliance measures;
- Monitor the efficiency and consistency of oversight arrangements;
- Update the relevant compliance monitoring programs where necessary; and
- Providing reports to management
Kindly be advised that only shortlisted candidates will be contacted