The purpose of the Risk and Compliance Officer role is to implement, maintain and manage theregulatory requirements within the business function in an efficient, impactful, relevant and sustainable manner.Creation and updating of compliance risk management plans and the monitoring of compliance in termsthereof. This applies to both the primary and secondary legislation applicable to the businessImplementing, maintaining and managing of a regulatory compliance management framework within the business in accordance with the overall risk management framework and group requirementsCreating, implementing and maintaining processes to meet regulatory requirements and mitigate the identified compliance risks within the businessMaintaining a compliance culture within the businessAnalysis of legislation and application thereof and advising business on regulatory changes which may impact compliance management within the businessEstablishing and maintaining relationships with internal and external stakeholdersAssisting business in creating processes to mitigate the identified compliance risks within the business. (With a focus of FICA)Assist in drafting and implementation of compliance policiesAssist in drafting, implementing & managing annual compliance management planComplaint investigationAdministrative duties related to the aboveQualificationsRelevant degree (preferably a law degree) (required)Computer literate and must be proficient in MS Office (required)Post graduate compliance or risk management qualification (advantageous)CISA CPrac or CProf Designation (advantageous)Knowledge and Experience Minimum of 3 years compliance experience in a risk or compliance role in a category I or II financial servicesprovider environmentUnderstanding of the financial services industry, specifically advisoryKnowledge of the requirements, implementation, application and monitoring of FAIS, FICA and TCF (Specifically, FICA)Knowledge and understanding of legal principles and ability to interpret legislationKnowledge and understanding of compliance risk management principlesKnowledge and understanding of the Financial Services IndustryAdvantageous: Knowledge of other legislation applicable to the business, e.g. Collective Investment Schemes Control Act, Companies Act, employment lawKnowledge of broader risk management and regulatory mattersCompliance experience in a category II environment
