Compliance Associate - Compliance Operations
IG Group
Johannesburg, South Africa
4d ago

Job Title

Compliance Associate - Compliance Operations

Job Description

Role Purpose and Responsibilities :

This is one of three new roles reporting to the Compliance Operations Manager. The team is responsible for designing, implementing and running efficient processes to handle queries and escalations to Compliance from clients, internal business teams or third parties, such as regulators.

This is to ensure that compliance provides high quality, accurate, efficient and scalable services to its stakeholders.

  • The first process to be managed by the team is responding to customer complaints in accordance with IG’s policies and FCA regulation.
  • This includes liaising with clients who have complained, undertaking business wide independent investigations, making a final judgement on the cases, providing formal responses to clients and corresponding with clients and third party (regulatory) bodies.

  • Once the complaints process has been successfully established and responsibility has been transferred from the existing UK based team, the Compliance Advisory Operations Team will take responsibility for the transfer and redesign of additional compliance processes
  • These include management of escalations from business teams across the organisations with queries about compliance policies, for example account opening teams or client servicing teams.
  • The team’s responsibilities will eventually expand to include the review and sign-off of financial promotions and website content.
  • The successful applicant will also have the opportunity to work closely with different departments on a variety of tasks, and work to streamline processes

    Experience and Skills

    Essential

  • Prior experience in a client services or compliance team in the finance sector.
  • Able to work under pressure and to tight deadlines
  • Excellent communication skills both verbal and written
  • Strong technical ability, attention to detail and confidence in regulatory interpretation
  • Desirable

  • Experience in handling customer complaints and providing formal responses to clients
  • Working knowledge of derivatives trading
  • Knowledge of wider (global) regulatory frameworks, such as EU or US
  • Essential

  • Educated to at least A-Level certificate standard (or overseas equivalent)
  • Desirable

  • Educated to degree level
  • Number of openings

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