Compliance Officer This vacancy has been created within our client's risk and compliance team, based role is responsible for compliance support and implementation of risk and compliance policies and procedures risk and compliance reporting, including adhoc review and analysis work by the Risk and Compliance Committee responsibilities include: •FSP Compliance / Risk Officer: o Compliance reporting on behalf of business changes required o FSP license changes as needed • Compliance monitoring: o Review of client advisory and investment
Description Position : Compliance Officer Team Leader Location : Claremont offices, Cape Town Type : Full-time About the Role : Are you a detail-oriented Compliance Officer professional ready to progress into a a leadership position? Or are you a Compliance Officer Team Leader ready to take on a new challenge and work within a new team? Our client is seeking a Compliance Officer Team Leader to join their amazing team Key Responsibilities : Oversee and manage the compliance team to ensure adherence to regulatory requirements
Are you a FAIS-approved Compliance Officer who is good at implementing and following the rules and you Is this you? You've gained solid experience in compliance and have a passion for regulatory excellence in Risk & Compliance, you'll play a pivotal role in ensuring regulatory compliance across various as the FAIS Compliance Officer for local and foreign FSPs to maintaining risk and compliance policies and strategic guidance, and drive initiatives to enhance compliance effectiveness. Every day presents new challenges
Management and the Board and sub-committees, ensuring compliance with all applicable legislation, corporate governance corporate governance framework and ensure Group compliance to the relevant laws and regulations. To oversee individual Board Members Compliance Management: Drive and oversee the corporate compliance program, functioning and objective body that reviews and evaluates compliance issues/concerns across the Group. Facilitate investigation and resolution of identified compliance issues Monitor compliance to relevant legislation and regulations
pertaining
Attend Annual Calendar
Manage compliance with Laws, Regulations and Rules pertaining to
contributions function
Manage the maintenance and compliance with all financial policies
Good insights
the rules
Prep for annual audit ensuring compliance and Valuation with in set timelines
Switches
conditions to ensure compliance with legal requirements. Regulatory Compliance : Stay abreast of relevant while minimizing legal costs. Compliance and Ethics : Maintain compliance and ethical behavior within the the organization, ensuring compliance with legal and regulatory requirements, as well as company policies
conditions to ensure compliance with legal requirements. Regulatory Compliance : Stay abreast of relevant while minimizing legal costs. Compliance and Ethics : Maintain compliance and ethical behavior within the the organization, ensuring compliance with legal and regulatory requirements, as well as company policies
analytical skills, and the ability to ensure compliance with relevant financial regulations and standards financial reporting policies and procedures to ensure compliance with regulatory requirements and internal controls reconcile account balances to ensure integrity and compliance with auditing standards.
properly support the production area to ensure in-compliance support where needed (e.g. line opening, line and identifying risks to ensure execution in compliance Product Stewardship : This pillar scopes basically Practices Drive and support close out of all relevant compliance related audit findings Responsible for performing Quality compliance during the execution of the Plan and all related tasks. Ensures compliance with work investigate and close out relevant GMP and SOP compliance related NC, CAPA, Change Controls, Deviations