Head of Group Risk and Compliance CA(SA)
Pollock & Associates
Sandton, South Africa
6d ago

About this job

Reporting to the Financial Director assumes responsibility for developing, implementing and maintaining a system of risk management as well as leading compliance for the Group.

Our client is seeking a process-driven and analytical CA(SA) with at least 5-10 years’ experience in the financial services industry in a risk and compliance management role.

Relevant sector experience would include Asset Management, Forex, Stockbroking, or Wealth Management. Your key internal relations would be with the Director of companies within the Group, Business Unit Leaders, employees and colleagues in the wider Group.

Key Result Areas :

  • Ensure the implementation of new legislation and amendments
  • Ensure compliance with legislation that has a high impact on the Group.
  • Assist business in guiding complaints resolutions.
  • Fulfill the role of Head : FICA Compliance officer for all entities within the Group
  • Fulfill the role of FAIS Compliance Officer.
  • Oversee work performed by FICA, FAIS and CISCA Compliance Officers.
  • Ensure Compliance, Internal Audit and Risk function fulfills the roles as set out in King IV
  • Maintaining the risks register, assist management in identifying risks and recommend that additional controls must be implemented to reduce risks at unacceptable levels.
  • Ensure that regulatory requirements are embedded in the operational processes of the Operating companies and assist with training.
  • Ensure compliance with regulatory reporting requirements and deadlines
  • Ensure regular reporting of Risk, Compliance and internal audit to the Group audit committee, Group Risk Committee, Group Risk Committee and Boards of Group Companies.
  • Represent Compliance and Risk on new projects and initiatives to be implemented and where new or amended legislation requires it.
  • Qualifications :

  • Chartered Accountant qualification from a leading tertiary institution.
  • Regulatory exams
  • Essential Experience

  • Min 5-10 years’ experience in the financial services industry in a risk and compliance management role.
  • Relevant experience in financial services : Wealth Management (advice & intermediary services);
  • Asset Management; Forex and stockbroking

  • Advantageous supplementary experience : Collective Investment Schemes in CIS and Hedge Fund, Administrative FSP, Long term insurer with Linked Life business, Fund operations environment, Life company
  • Essential Skills / Knowledge

  • Expert knowledge of CISCA, related regulations, and industry guidelines, Regulation 28 to the Pension Funds Act, FAIS, FICA, FATCA, POPIA, TCF, and new applicable industry legislation
  • Companies Act and King IV requirements
  • A keen interest in financial markets and instruments.
  • Computer Competency Requirements

  • Microsoft packages : Word, Excel, Outlook, PowerPoint intermediate level
  • Docfox (advantageous)
  • Apply
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