Compliance Researcher & Developer
On-siteStellenbosch, Western Cape, South Africa
Job Summary
Receive and resolve compliance-related queries from internal stakeholders, clients, and industry role players while researching applicable legislation, regulations, and industry guidance. Assist in establishing procedures for identifying, reporting, and resolving compliance issues, and interpret governance, risk management, and best practice methodologies to improve regulatory awareness. Develop and maintain company templates, policies, standard operating procedures, and training materials on compliance and regulatory matters. Draft and vet stakeholder agreements, including non-disclosure agreements, and create informative articles on relevant regulatory topics. Provide compliance support to Self-Comply clients and distribute regulatory documentation to internal stakeholders.
Required Qualifications
- Registered as a compliance officer under supervision with the Financial Sector Conduct Authority
- Opportunity to complete the statutory period (3 years) under the supervision of an FSCA-approved compliance officer
- LLB (4 Years) / B.Com Law, LL.B / BA Law, LL.B / B.Acc LL.B / BCom degree or equivalent that has been recognized by the FSCA for Compliance Officers
- At least 2 years' working experience in a legal environment
- At least 1 years' working experience in a compliance, risk management and/or financial services environment
- Valid driving license
- Own transportation
- Must have a positive outlook
- Self-motivated
- Professional and presentable
Desired Qualifications
- Admitted legal practitioner
- Completed practical vocational training (articles) awaiting admission
- Working experience in compliance in the financial services industry
- Working knowledge of legal and regulatory frameworks in South Africa
- Working knowledge of the financial services regulatory environment, compliance guidelines, standards, and legislation FAIS, LTIA, STIA, POPIA, CISCA, etc.
- Working knowledge of AML, CTF and CPF frameworks, guidelines, standards and regulations
- Thorough knowledge of the law of contracts
- Proficient in Microsoft Office (Word, Excel, PowerPoint & Outlook)
- Good command of written and spoken English and Afrikaans
- Tertiary studies/Postgraduate Diploma in Financial Planning or Risk Management
- Completed Regulatory Examinations 1, 3, or 5
- Preference will be given to EE candidates
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.