Head Compliance & Operational Governance (Financial Services)

Superskills Consulting

sandhurst sandhurst, sandhurst

Superskills Consulting

Head Compliance & Operational Governance (Financial Services)

Superskills Consulting

  • R62,500 - R70,800 per month
  • Permanent Specialist position
  • Sandhurst, Gauteng
  • Posted 19 May 2022 by Superskills Consulting
  • Expires in 34 days
  • Job 2466735
Apply Now

About the position

ROLE PROFILE

Job Title: Head: Compliance & Operational Governance

Job Purpose:

The Head: Compliance is required to implement and maintain a compliance framework, compliance monitoring and provide compliance support to the business.

Job Responsibilities: Main areas of responsibility will include:

Compliance

  • Establishing, implementing and maintaining a regulatory compliance management framework and function within the business in accordance with the overall risk management framework and group and licence holder requirements.
  • Creation of compliance risk management plans and the monitoring of compliance in terms thereof.
  • Management of compliance functions within the various regions of the business, where applicable, and external compliance providers.
  • Assisting business in creating processes to mitigate the identified compliance risks within the business.
  • Drafting and implementation of compliance policies.
  • Training of employees on compliance policies and legislation, including the drafting of training material.
  • Addressing compliance related queries from within the business.
  • Creating a compliance culture within the business.
  • Reporting to management, the holding company and the relevant regulators on compliance on the business.
  • Advising business on regulatory changes which may impact compliance management within the business.
  • Establishing and maintaining relationships with regulators and other internal and external stakeholders.
  • Complaint investigation and management.
  • Administrative duties related to the above.

Operational Governance

  • Assist with the operational implementation of the Group Governance Framework.
  • Draft and review operational governance policies.
  • Manage operational governance processes, e.g. drafting and updating of delegation of authority.

Qualifications and Experience

  • Relevant degree (candidates without a relevant degree with extensive compliance experience may be considered)
  • Computer literate and must be proficient in MS Office (required)
  • Experience in a risk, legal or compliance role in a category I or II financial services provider environment (required)
  • FAIS Approved Category I and II Compliance Officer (required)
  • Compliance or risk management qualification or designation (advantageous)

Knowledge

  • Knowledge and understanding of legal principles and ability to interpret legislation (required)
  • In depth knowledge of therequirements, implementation and application of FAIS, FICA, TCF, PoPIA
  • Knowledge and understanding of compliance risk management principles (required)
  • Knowledge and understanding of the Financial Services Industry (required)
  • Knowledge of other legislation applicable to the business, e.g. Collective Investment Schemes Control Act, Companies Act, employment law (advantageous)

Competencies, skills & attributes

  • Excellent verbal and written communications skills
  • Attention to detail
  • Ability to learn and adapt quickly
  • Analytical skills and the ability to work in a methodical and organised manner
  • Ability to work independently and under pressure
  • Proactive and resourceful and takes initiative
  • Willingness to perform a wide variety of tasks and to continuously learn and improve

Desired Skills:

  • Compliance
  • Financial Services
  • FAIS Cat I
  • FAIS Cat II

Desired Work Experience:

  • 5 to 10 years

About The Employer:

Our client is an independent financial services business whose core product is advice and investment management. The company is independently incorporated and operated by a team of highly experienced industry professionals. It is backed by one of the largest financial services businesses in SA. There are 250 members of staff and 50 offices across South Africa. Current assets under advice is R25bn and the company is owner-managed.

Apply Now

Superskills Consulting

About the agency

Superskills Consulting is a recruitment firm and has been trading since 1997. Superskills strictly observes and protects the confidentiality of its clients and candidates and has over the years built strong relationships with its clients and candidates, at all times offering a superior service throughout the recruitment process. Superskills has a team of consultants who are experts in their particular fields and recruit both locally and internationally in accounting & auditing; financial services; general management; HR, advertising, marketing, PR and retail.

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Expires in 33 days

About the position

ROLE PROFILE

Job Title: Head: Compliance & Operational Governance

Job Purpose:

The Head: Compliance is required to implement and maintain a compliance framework, compliance monitoring and provide compliance support to the business.

Job Responsibilities: Main areas of responsibility will include:

Compliance

  • Establishing, implementing and maintaining a regulatory compliance management framework and function within the business in accordance with the overall risk management framework and group and licence holder requirements.
  • Creation of compliance risk management plans and the monitoring of compliance in terms thereof.
  • Management of compliance functions within the various regions of the business, where applicable, and external compliance providers.
  • Assisting business in creating processes to mitigate the identified compliance risks within the business.
  • Drafting and implementation of compliance policies.
  • Training of employees on compliance policies and legislation, including the drafting of training material.
  • Addressing compliance related queries from within the business.
  • Creating a compliance culture within the business.
  • Reporting to management, the holding company and the relevant regulators on compliance on the business.
  • Advising business on regulatory changes which may impact compliance management within the business.
  • Establishing and maintaining relationships with regulators and other internal and external stakeholders.
  • Complaint investigation and management.
  • Administrative duties related to the above.

Operational Governance

  • Assist with the operational implementation of the Group Governance Framework.
  • Draft and review operational governance policies.
  • Manage operational governance processes, e.g. drafting and updating of delegation of authority.

Qualifications and Experience

  • Relevant degree (candidates without a relevant degree with extensive compliance experience may be considered)
  • Computer literate and must be proficient in MS Office (required)
  • Experience in a risk, legal or compliance role in a category I or II financial services provider environment (required)
  • FAIS Approved Category I and II Compliance Officer (required)
  • Compliance or risk management qualification or designation (advantageous)

Knowledge

  • Knowledge and understanding of legal principles and ability to interpret legislation (required)
  • In depth knowledge of therequirements, implementation and application of FAIS, FICA, TCF, PoPIA
  • Knowledge and understanding of compliance risk management principles (required)
  • Knowledge and understanding of the Financial Services Industry (required)
  • Knowledge of other legislation applicable to the business, e.g. Collective Investment Schemes Control Act, Companies Act, employment law (advantageous)

Competencies, skills & attributes

  • Excellent verbal and written communications skills
  • Attention to detail
  • Ability to learn and adapt quickly
  • Analytical skills and the ability to work in a methodical and organised manner
  • Ability to work independently and under pressure
  • Proactive and resourceful and takes initiative
  • Willingness to perform a wide variety of tasks and to continuously learn and improve

Desired Skills:

  • Compliance
  • Financial Services
  • FAIS Cat I
  • FAIS Cat II

Desired Work Experience:

  • 5 to 10 years

About The Employer:

Our client is an independent financial services business whose core product is advice and investment management. The company is independently incorporated and operated by a team of highly experienced industry professionals. It is backed by one of the largest financial services businesses in SA. There are 250 members of staff and 50 offices across South Africa. Current assets under advice is R25bn and the company is owner-managed.





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