SUMMARY:
COMPLIANCE OFFICER (Investment Risk and Regulatory Management) - Claremont/Newlands, Western Cape, S
POSITION INFO:
COMPLIANCE OFFICER (Investment Risk and Regulatory Management) – Claremont/Newlands, Western Cape, SA
Competitive Package on Offer!
Our Client, a Global Investment Firm is currently expanding their dynamic Compliance Team!
Forming part of the broader Assurance Team, the Compliance Officer will support the Compliance Team with all required tasks as it relates to the group’s day-to day compliance functions (including but not limited to AML/CFT/PF) for the Global business across he various international regions it operates in.
One are a strong and tactful communicator who possesses exceptional organisational and attention to detail skills. You are a team player who consistently demonstrates a high level of professionalism, integrity in both personal and business ethical code as well as solid time management skills to meet complex business demands and reporting requirements.
Key Duties & Responsibilities
- Provide and maintain a compliant working environment by adhering to all laws, regulations and ethical standards;
- Regulatory horizon scanning;
- Work closely with the Regulatory and Risk Manager and inform them of any potential regulatory compliance issues;
- Opine on any new regulatory pronouncements or changes and potential impact they may have on the KYC processes and policies;
- Assist with reporting to regulators, committees and boards;
- Maintain all sections of the Compliance policies and procedures relating to KYC;
- Review KYC documents according to the KYC policy and procedures;
- Assist the Regulatory and Risk Manager in his/her responsibilities as they relate to the KYC Centre of Excellence;
- Maintain logs of customer information to ensure the efficiency of the KYC process;
- Assist with the KYC processes;
- Interacts with other departments, internal audit and regulators;
- Conduct periodic testing on policies and processes; and
- Performs other compliance related duties as required.
Qualifications, Experience & Skillset
- A Bachelor's degree in Finance, Economics, Commerce, Law or other relevant business study from a recognized university.
- At least 3 years' compliance related experience gained in the financial services or investment industry
- Knowledge of the investment industry
- Practical experience in compliance, specifically AML/PF/TF.
To apply for this role, please forward a detailed copy of your CV to Nicole Spamers: