Compliance Officer

Market Recruit - Cape Town, Province of the Western Cape

Fechado

Contrato

Tipo contrato
Tempo indeterminado
Oferta aberta até
15/03/2020

Descrição

Cargo
Compliance Officer
Número de vagas
1
Descrição da função

Job Description



Monitor and evaluate compliance within the business as well as develop risk management plans. Identify and report on potential or actual non-compliance, including breaches and risks (including actually or potentially unusual transactions). This position encompasses implementation and development of non-conformity, corrective and preventative actions.



Key Responsibilities


  • Monitor and evaluate call monitoring and KYC functions.

  • Identify and interpret applicable compliance requirements.

  • Identify and provide staff (individuals and/or teams) with relevant training needs on various legislative requirements.

  • Identify, investigate and report to management on suspicious or high-risk clients and transactions

  • Report and conduct/direct investigation on risk and compliance issues

  • Periodically evaluate existing clients according to established policies and procedures

  • Remain abreast of industry changes

  • Assess the possible impact of regulatory development on operations of the business

  • Implement, monitor and ensure compliance with relevant standards, processes and best practices

  • Apply knowledge of current legislation in identifying non-conformance and related risk

  • Design, recommend and implement improvements in communication, monitoring and enforcement of compliance standards

  • Design and compile compliance monitoring plans and compliance risk management plans (CRMP’s) as required by relevant legislation.

  • Implement coverage plans which talk to regulatory universe including the scoping and interaction with business, process analysis and report writing

  • Communicate effectively and efficiently with relevant internal parties including the coordination across compliance departments ensure effective coverage of compliance risk.

  • Provide professional advice and guidance on compliance matters and resolutions of compliance monitoring issues.

  • Conduct compliance audits and draft compliance reports for submission to relevant internal committees.

  • Review of all critical business policies from a regulatory compliance perspective and make recommendations for improvement.

  • Regulatory follow up on issues identified and raised in reviews to ensure resolution of corrective actions.

  • Identify behavior of sales agents that may place the company at risk

  • Complete special projects, and miscellaneous duties as prescribed by Management


Skills, Abilities & Competencies

  • Functional knowledge & understanding of appropriate regulations, policies and/or practices

  • Able to gather, collate and summarise information from various sources and databases

  • Technical competency and expertise in compliance

  • Analytical skills

  • Attention to detail, accuracy and number-orientated

  • Able to work under pressure

  • Able to lead and work with others

  • Strong, assertive and well-organised person

  • Strong communication and active listening skills

  • Strong work ethic and sense of professionalism

  • Proficient in G-Suite


Education & Experience

  • Tertiary degree in LLB, BComm Law or similar

  • Compliance Officer related experience, preferably in a regulated financial environment

  • 2 - 4 years’ working experience

  • Experience in call centre environment

  • Experience leading a team (advantageous)


If you do not hear from us within 3 weeks, please consider your application unsuccessful



Job Type: Permanent



Salary: R30,000.00 to R35,000.00 /month



Experience:

  • call centre: 3 years (Required)

  • compliance: 3 years (Required)


Education:

  • Bachelors (Required)

Requisitos

Titulação mínima
Frequência universitária
Experiência exigida
4 Anos
Nacionalidade
Não definido
Línguas
Não definido
Competências
Não definido
Aptidões necessárias

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Empregador

Nome do empregador

Market Recruit

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