Compliance Officer, Finance & Banking

Job Overview

Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure compliance? Are you fantastic at evaluation and coaching where required? Raise your hand because WE’RE HIRING!

It’s our mission to unleash the potential in our team, and we know that teams perform best when they are diverse and each individual feels that they belong. That’s why we want you to join us in the capacity of Compliance Officer. This role plays an integral part in our team, as you will be the custodian of Company compliance and form an integral part of ensuring risk is mitigated within the Financial Services Provider space.

• Modern fit-for-purpose people practices.
• Working in a state-of-the‑art tech building that includes access to on‑site gym to help you grow your fitness as much as you do your brain.
• Two on‑site restaurants that will have you inhaling aromas of mouth‑watering lunchtime dishes, and freshly brewed coffee. At Fintech campus that’s just a part of the rhythm of the day.

A specialist with a high attention to detail and who has the ability to ensure FAIS and FICA compliance is met. Someone who fully understands the Financial services industry, as well as the processes within an FSP environment. The ideal candidate will also have excellent verbal and written communications skills and the ability to provide feedback and coaching where needed.

• Responsible for implementing and enforcing the Business’ compliance programmes;
• Maintain awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements;
• Consult on an on‑going basis with Operational managers to ensure conformance with applicable laws and regulations;
• Manage, oversee and monitor Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, license conditions and annual levies;
• Perform statistical sampling and monitoring;
• Maintain register of representatives and inform Registrar of any changes;
• Responsible for the control of the Anti‑Money Laundering and Anti‑Money Laundering Foreign Account Tax Compliance Act (FATCA) regulations;
• Analyse received documents and interact with the Office Manager to advise if received documents are acceptable;
• Ensure compliance with and oversight of, ongoing statutory regulatory requirements;
• Responsibility includes monitoring and validation of investor files, technical and documentary support to investor teams, updating of operational procedures and participation in compliance committees;
• Develop, initiate, maintain and revise policies and procedures for the general operation of regulatory compliance;
• Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future;
• Provide Compliance reports to Management so as to mitigate risk and assess success;
• Ensure effective risk management and internal control for area of responsibility.

• Ability to apply self-confidence and self-regulation
  ;
• Trustworthiness and conscientiousness by taking responsibility for personal performance;
• Loyalty toward the organisation;
• Commitment by aligning with organisational goals;
• Ability to apply assertiveness;
• Attention to detail
  ;
• Controlled decision‑making process;
• Confidentiality and time management /
  prioritising
  ;
• Planning and scheduling workability to manage projects and processes;
• Listening and organising ability to understand, organise, analyse and respond appropriately;
• Communication skills by remaining professional and applying effective communication in all areas;
• Flexibility relating to work dealings, assist when required even if it’s not in your job description;
• Enthusiasm for learning and self‑improvement
  ;
• Be able to work accurately and effectively in a highly pressurised environment;
• Unr…