Compliance Manager


Salary Negotiable Location Johannesburg FULL_TIMEConsultant Mavis Filifana JobRef / Date posted 14 April johannesburg banking-financial-services/compliance -04-14 -06-13 financial-services Johannesburg Gauteng Block B, 37 Peter Place, Johannesburg, Bryanston ZA Robert Walters Compliance Manager position has become available at a leading Boutique Financial Services Provider and is looking to employ an experienced Compliance Manager within Johannesburg.The role will involve preparing and maintaining the Company compliance file; Training Wealth Managers (Financial Planners) and Para-planners in company compliance practices; preparing quarterly and annual review tasks for external compliance; as well as keeping abreast of all new compliance requirements being issued by the FSCA and communicating such throughout the company.Main responsibilities of the Compliance Manager include:The Compliance manager should in conjunction and with the help of the outsourced compliance managers ensure that Groups compliance files are completely up to date at any one time, by keeping up to date the following:Risk: Strategic risk plan, Service Level Agreements, Terms of Business, and Referral Agreements. FSCA: Profile changes- Every 15 days, all FSCA changes are saved in the compliance file, FSCA Annual RFI preparation (all Policies and Representative documents in place), Financial Statement Preparation along, and Auditors. FAIS Procedures: FAIS Worksheets, Advertising, Direct marketing, Competency Roadmap, Supervision Register, Supervision Plan, Supervision Agreement. Corporate Governance: Documents; Registers; FICA and Legislation. The Compliance Manager will be responsible for training in order to explain the compliance pack and all the various compliance forms that are required to be filled out in each client pack Preparing quarterly and annual Compliance Reviews Prepare responses to each request made by the compliance officer Client file retrieval for audit Internal audit performed as a double check Implementing any changes in legislation provided and any recommendations by the compliance officer. Keep abreast of all new compliance requirements being issued by the FSCA and communicate such throughout the company. Act as the main point of contact with regards to all compliance regulations Ensure all new compliance requirements issued by any relevant body are communicated to all staff and that all staff is trained to implement the same. Ensure all staff legally comply with all compliance requirements Initiate and maintain training in skills and compliance requirements across the company. Key requirements for this position:Must have 3 - 5 years experience in the field of Compliance within Financial Sector/ Banking. Member of the Compliance Institute of South Africa or an Admitted Attorney. Bcom degree is essential. Must have a broad knowledge of the financial services world High level of technical knowledge Able to work within defined business processes Ability to achieve agreed outcomes without supervision Prioritise and plan own workload Detailed and accurate Articulate Excellent interpersonal skills, both written and verbal Ability to multitask and prioritise effectively Good report writing skills Ability to work independently and in a team Predictive Modelling AnalystFinancial Services firm in Johannesburg is seeking for a Predictive Modelling Analyst (Insights, Analytics & Predictive Modeling). An Operations Manager with strong Financial Services experience is needed at a Financial Services group.The purpose of the role is to prepare and maintain the Commission Files; to perform weekly operations meetings, perform Supplier Maintenance responsibilities, as a monthly Tasks. Actuarial AnalystAn opportunity for an Actuarial Analyst has risen at a Financial Services firm, for the purpose of strategic development of the valuation process flow and Prophet development. Quantitative Analyst (Valuations)Financial Services firm in Johannesburg is seeking for a Quantitative Analyst (Valuations) A leading global Project Finance advisory firm are seeking a Project Finance Associate with either a Fund, Management Consulting, Banking or Development Finance background, to join their high-performing team. This role will be fully remote, but may require in-person travel to both client and internal company meetings, across South Africa.
Posted
05/05/2022
Location
Johannesburg, GT, ZA