Regulatory Compliance Officer

Job brief

A Leading Financial Services Client requires a Regulatory Compliance Officer to join their dynamic team responsible for implementation and maintenance of the compliance strategy and programme.

Responsibilities

• Ensure and assist with fulfilling the approved Compliance Programme
• Provide guidance on existing and forthcoming legislation and policies
• Draft and/or maintain Compliance Policies and related Standard Operating Procedures (SOPs)
• Draft and/or maintain Compliance Risk Management Plans (CRMP),
  Preparation of compliance reports (e.g. Board reports, regulatory reports, etc.).
• Maintenance of relevant regulatory registers (e.g. representative register, breach register, etc.)
• Provide training to business using appropriate modalities as required

Requirements

• Matric / Grade 12
• Degree in legal, audit, risk management or commerce and/or a professional designation
• 3+ years relevant experience, with most of it preferably in asset management
• Experience with Software applications including email, Powerpoint, Microsoft Excel and Word
• Experience with CURA, SharePoint and CRM would be advantageous
• Regulatory Knowledge and Awareness, as applicable to the business