Compliance OfficerSandton, JohannesburgWorking closely with business divisions to promote an appropriate Compliance culture to assist the company to remain compliant with : FAIS, FMA, FSR, FICA, POCDATARA, JSE, and associated obligations , Risk & Compliance policies and procedures.
Responsible to establish the Compliance Risk Management program and related compliance policies.
Update the Compliance Manual and ensure that new employees are made aware of the compliance obligations applicable Responsible to keep abreast of new regulatory and legislative requirements applicable and to inform and advise the business areas thereofResponsible to establish good working relationships with industry bodies, work groups, FAIS forums, Regulators etc.
and to maintain these relationshipsAssist with the preparation of the compliance training slides and documents for the training session(s).
Responsible to manage logistical requirements for training such as book a meeting room and organize refreshments - where applicableEnsure that expert knowledge of FAIS and related matters is developed and maintained.
Ensure that annual financial statements of all FSPs are submitted to the FSCA timeously to avoid regulatory sanctionsEnsure Registered Officers are registered, de-activated, suspended or details updated as required.
Assist with the preparation for JSE on- and off-site reviews.
Compile a draft compliance report for submission to the risk and management committees based on information obtained and submit same to the Compliance Manager for review and finalization.
Ensure that the draft FSP FAIS Compliance Report is submitted to the Compliance Manager for timeous and accurate submission to the FSCA.
and Must ideally be registered with the FSB as an approved Category 1 Compliance Officer and have passed the relevant SAIFM exams (particularly Introduction to Financial Markets, Regulation and Ethics, Derivatives RPE and Derivatives Compliance Officer Exam).