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Description Duties & Responsibilities: Contribute to the efficient and effective functioning of the Compliance Function Assist manager to ensure that the compliance function are in compliance with law and industry and regulatory body requirements ito Market ConductPromote prevention of legal and regulatory risk in the company (TCF)Maintain efficient and effective operations in ComplianceValidate that policies and procedures with regards to Compliance Function are being adhered to. (TCF) Attend to regulatory and client complaints (TCF) Assist with investigation of regulatory and clients complaints (Ombudsman cases) Responsible for Compliance Monitoring and Reporting Monitor compliance risk, policies and procedures at Head Office and branches of Assupol GroupComplete monitoring reports for Compliance ManagerProvide overall compliance assistance, guidance and advice to Assupol Group of CompaniesContribute to the development of compliance risk management plansContribute to the completion of compliance reporting (internal and regulatory) Provide Training and Awareness on Compliance Matters Create awareness in Assupol Group of Companies with law requirements (TCF)Inform employees about relevant compliance mattersDevelop, educate and enabling healthy and business orientated compliance culture Co-ordination of Market Conduct function Liaise between managers, team and other teamsFollow-up on responses and reports from managersAttend to normal telephonic enquiriesManage incoming correspondence from the regulator or any other industry bodyDepartment communication Performance of secretarial duties and administration Prepare, manage and control the departmental budgetPrepare and consolidate reportsPrepare documentation e.g. reports, presentations and memosDraft lettersDistribute documentation e.g. reports and memosLiaise with internal and external stakeholders and executives, directors, committee members, company secretary and others, where appropriateAssistance with the organisation of internal and external meetings prior to and during the eventCoordinate arrangements for visitors, as necessaryPreparation for meetings: Preparation of meeting packs (agenda, minutes and other required material)Take minutes at meetings and distribute minutes where necessary Assist with queries Assist with queries of the Compliance, Complaints and Broker Advisory and Intermediary Services General office admin https://protool.gumtree.co.za/external-link-browser.html?urlaHR0cHM6Ly93d3cuZGl0dG8uam9icy9qb2IvZ3VtdHJlZS85OTQyOTMyOTM/c291cmNlPWd1bXRyZWU&jid1495756&xid994293293 Apply Now

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Jobs in Go!