Guidance Officer Sandton - Sandton
BA Personnel
As specialist in our fields with extensive experience in placing niche and specialized roles both Nationally and Globally, BA Personnel is known for attracting and representing high caliber candidates. Our clients are diverse Leaders in their respective Industries and representative across all business sectors. Recruiting for a highly experienced COMPLIANCE GUIDANCE OFFICER: Umbrella Funds, Investment and CATIII experience with extensive experience to effectively and proactively assist the company in managing its responsibility to comply with all the regulatory requirements and minimize the compliance risks identified in business by implementing compliance risk management process that includes the identification, assessment, management, monitoring and reporting of compliance risks that are faced by the relevant stakeholder. In addition to the above, the role also requires engagement with the regulatory bodies from time to time. Implementation of the Group Compliance Framework as relevant to the applicable Business Unit and advising on processes and suitable control frameworks to implement strategic regulatory obligations Provision of strategic guidance and support to the Business Units on the implementation of new and changed regulatory obligations and with the aim of ensuring that business objectives (strategic and operational) are aligned to the regulatory framework and exposure profile of the business Managing the Regulatory Profile and engaging with the Executive Management team on any incidents and exposures relating to its regulatory obligations Development and oversight of reports as well as setting of reporting standards to provide accurate pertinent compliance reports Project management in support of compliance requirements, implementation of systems, procedures, policies and training requirements Compliance monitoring of the applicable business unit compliance functions and assurance across the business units Assist management with identification and evaluation of compliance exposures and regulatory breaches Engagements with Regulators and with other interest groups in the industry. Relevant tertiary qualification (preferably in the legal or commerce field). The person must have a clear and in-depth understanding of the FAIS Act (especially Cat III) and the Long- Term Insurance Act as it relates to the underwritten investments policies). At least 3 years compliance-related experience. Experience in drafting Compliance Risk Management Plans and conducting Compliance monitoring
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