Overview
Interim Compliance Manager/Maternity Cover Jobs in Johannesburg, South Africa at Acumen Resources Development (Pty) Ltd
Interim Compliance Manager (Maternity Cover)
Trading company is looking for an experienced person to join their Compliance team to oversee the African region. The successful candidate will (i) assist the management to ensure that the overall activities of the South African office comply with all the relevant and applicable laws, regulations and regulatory rules; (ii) operate and enforce the company’s internal compliance policies and procedures; (iii) facilitate the company’s growth strategy and expansion plans on new products and into new territories.
Compliance Officers who have experience with Trading platforms would be a plus!
Duties & Responsibilities
Provide compliance advisory services to management, business and functional units in relation to South Africa and African regulatory regimes
Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date
Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to
Monitor business activities and put in place specific measures as necessary
Monitor SA and African regulatory developments relevant and applicable to the company and provide impact analysis, work on projects to implement any changes that may be required
Ensure that the AML systems and controls meet regulatory requirements and are complied with
Oversee compliance operations of client due diligence and KYC processes and procedures as required
Prepare internal reports and management information, assist on filing regulatory reports
Assist in maintaining and developing the RMCP manuals and internal staff training
Desired Experience & Qualification
University degree in Law, Economics, Business or Accounting or Finance disciplines
Minimum 5 years of relevant South African compliance experience in FAIS and FICA within an investment bank, securities company or investment trading platform
Experience and good understanding of FAIS and FICA and the local regulatory regime – with implementation preferred
Comprehensive understanding of the regulatory rules applicable to FSCA regulated activities
Skills and Abilities
A self-starter with keen initiative and excellent interpersonal skills
A professional with high integrity
Able to work with a minimum level of supervision
Strong analytical and evaluative skills, attentive to details
Good communication skill and a good team player
Good understanding of SA and global regulatory issues and developments
General broad understanding of financial products, brokerage and financial stock trading services
Package on Offer is highly negotiable!
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal and Management
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Title: Interim Compliance Manager/Maternity Cover
Company: Acumen Resources Development (Pty) Ltd
Location: Johannesburg, South Africa
Category: Finance & Banking (Regulatory Compliance Specialist, Financial Compliance, Risk Manager/Analyst)
