Compliance Officer
Compliance Officer
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Not Disclosed
Salary Not Disclosed
Job Description
Key Responsibilities:
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Make necessary updates to KYC processes to meet regulatory deadlines.
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Oversee staff compliance especially for supervised representatives.
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Conduct quarterly reviews manage Fit and Proper declarations and track training and certifications.
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Manage records of suspicious transactions.
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Maintain key policies and organize training for compliance and security.
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Plan and conduct training sessions on compliance updates.
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Oversee transaction monitoring investigate suspicious activities and escalate as needed.
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Report any violations of compliance or regulatory standards.
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Prepare for regulatory audits and manage reports.
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Maintain authorized signatory lists and support regulatory reviews.
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Manage processes related to FAIS licensing including representative changes.
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Ensure FAIS disclosures and website information are accurate.
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Update the RMCP to reflect changes in business processes and regulations.
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Oversee onboarding with banking partners ensuring all compliance steps are followed.
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Develop internal training materials for compliance.
Required Skills and Qualifications
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Matric.
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A bachelor’s degree in law Finance Business Administration or a related field would be advantageous.
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Minimum 3 years of experience in compliance risk or legal role within financial services
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Proven track record of successfully managing compliance programs andmitigating risks.
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Experience conducting audits and preparing compliance reports for regulatory bodies.
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Excellent analytical problemsolving and decisionmaking skills.
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Strong communication and interpersonal skills with the ability to engage and influence stakeholders at all levels.
Requirements
Preferred Qualifications
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Certified Compliance Professional (CCP) Certified Regulatory Compliance Manger (CRCM) or equivalent certifications.
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Previous consulting experience with demonstrated ability to manage multiple projects.
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Experience working in a highly regulated industry.
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Knowledge of data privacy laws and information security compliance.
Employment Type
Full Time
