Head of Compliance: Consulting SA

SUMMARY:
Role Purpose:
The Head of Compliance: Consulting SA is responsible for leading the management of the first line compliance function for the Consulting platform within the South African based operations, ensuring compliance at a legal entity level. This includes supporting the various divisional executives in the execution of applicable compliance management strategies, plans and programmes.
 
The purpose of the role is to:

• Lead the identification, access and management of risk relating to Compliance across all legal entities within South Africa.
• Be accountable for regulatory compliance monitoring and regulatory reporting for compliance relating to the relevant legal entities.
• Lead technology advancements to assist with the daily operations of the compliance team as well as being innovative with compliance for the business.
• Be a key contributor to the clients legal entitites.
• Be the FAIS approved compliance officer with the FSCA for all FAIS licenses (Cat I, II and IIA).
• Be the CISCA approved compliance officer with the FSCA for CIS in Securities, Hedge Funds and Offshore.

POSITION INFO:
Qualifications:
· LLB / BCom degree in law
· Masters degree
· FAIS accredited for Category I, II and IIA
· CFP

Experience:
· Has worked in large financial institution businesses within the AML compliance team in a senior management role
· Minimum of 8 - 10 years’ work experience in the compliance management, regulatory services, audit, governance and assurance environment.
· Solid exposure to the regulatory and compliance environment for financial services required.
· Understanding of the financial services and investment management industry essential
· Understanding of FAIS, Insurance Act, Pension Funds Act, CISCA, POPIA, CMS and AML.

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