SENIOR COMPLIANCE OFFICER – REF8512

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R HIGHLY NEGOTIABLE PLUS ANNUAL PERFORMANCE BONUS

Our client is an advice-led investment business for the discerning investor. They offer one point of contact for all your advice and investment needs. They are not simply one formidable business. They are the consolidation of several established businesses into a powerhouse of expertise, resources and world-class research.

They now seek a senior compliance officer who is a dynamic, go-getter individual who is client centric, goal-oriented and keen to grow in the expanding field of compliance, to join their compliance team. This is a new senior role.

JOB DESCRIPTION WILL INCLUDE BUT NOT BE LIMITED TO:

  • You will be individually responsible for operating within a team, for establishing a compliance framework; including risk management and monitoring plan;
  • You will be required to embed compliance, directly and / or through staff supervised;
  • You will be required to establish compliance within area by implementation of compliance risk management and monitoring plans; Facilitate resolution of compliance breaches and assist in mitigation regulatory risk;
  • You will be required to perform compliance monitoring in accordance with relevant compliance plans;
  • You will be required to facilitate resolution of compliance breaches and assists in mitigation of regulatory risk;
  • You will be required to monitor and report on compliance breaches to line management and senior compliance officer / compliance executive;
  • You will be required to support the business in implementing new regulatory developments;
  • You will be required to be a registered compliance officer (with the financial sector conduct authority) for financial services providers within the company as required;
  • Compliance:
    • You will be individually responsible for establishing a compliance framework, including risk management and monitoring plan; You will be required to embed compliance, directly and / or through staff supervised; You will be required to initiate and facilitate corrective action where required;
    • You will be required to assist senior management with the effective co-ordination and execution of the monitoring and reporting requirements for the functional area;
    • You will be required to assist in mitigation of compliance risk;
    • You will be required to challenge and escalate (within the defined escalation framework) where deemed appropriate;
    • You will be required to facilitates resolution of compliance breaches;
    • You will be required to influence on account of outputs is limited to specific assigned functional area;
    • You will be required to report on compliance breaches to line management and senior compliance officer / compliance executive;
    • You will be required to utilise relevant legislation and in all probability, the impact of the legislation on the business unit / functional area;
    • You will be required to provide training and awareness to relevant stakeholders with regard to regulatory updates / impending changes as required;
  • Team effectiveness:
    • You will be required to demonstrate the adherence to core values;
    • You will be required to balance own priorities with directing and motivating others;
    • You will be required to create a climate for optimal performance;
    • You will be required to guide and direct staff to achieve operational excellence standards;
    • You will be individually responsible for time, tasks and output quality, over periods of 3 months to a year;
    • You will be required to manage performance;
    • You will be required to manage staff (e.g. assistant COs) operating in less complex business units or functional areas;
    • You will be required to plan & assign work;
    • You will be required to select potential staff to sustain customer/ client service delivery, where relevant.

 CORE COMPETENCIES REQUIRED, BUT NOT LIMITED TO:

  • You have collaboration (relating) skills;
  • You are able to put the customer first;
  • You have honed execution skills;
  • You are innovative (perspective);
  • You are able to lead with influence;
  • You have personal mastery (learning) skills;
  • You are strategic.

CORE QUALIFICATIONS AND EXPERIENCE:

  • Minimum qualification is an LLB;
  • You have a certificate in compliance management –
  • You have minimum 5 years current, relevant experience in financial services industry. You would be able to hit the ground running.

This is a smart team who are under resourced and very keen to embrace a skilled resource to work in and lead a team.