Compliance Consultant Parktown - Johannesburg
Letsema Consulting and Advisory
The Compliance Consultant is responsible for ensuring that the organization adheres to all relevant legal and regulatory requirements, specifically within the financial services sector. This role involves advising on compliance matters, developing and implementing compliance programs, and monitoring the organization's adherence to these programs. The Compliance Consultant will work closely with various departments to mitigate risks and ensure best practices in compliance management, with a particular focus on the Financial Advisory and Intermediary Services (FAIS) Act and other relevant regulatory frameworks. Business Requirements: Compliance consultant for 3 months To conduct monitoring activities across business units to ensure that business is conducted within the licensing conditions. Considering the following: Jurisdictional limits being adhered to Product adherence to the license condition. Underwriting mandates are adhered to by 3rd Parties (Binderholders/UMA). Independent testing of adequacy and efficiency of controls in place to address Avoidable complaints (e.g. settlement delays, lack of feedback, settlement disputes, claims delays) Reinsurance structures to be reviewed to ensure compliance with regulatory requirements. Data management in line with the PPR Liquidity adherence Education: Bachelor's degree in Law, Finance, Business Administration, or a related field. Professional certification in compliance (e.g., Certified Compliance & Ethics Professional (CCEP), Certified Regulatory Compliance Manager (CRCM)) is preferred. Experience: Minimum 8 of years of experience in a compliance role, preferably within the financial services industry. Proven track record of developing and implementing effective compliance programs. Specific experience and knowledge of the Financial Advisory and Intermediary Services (FAIS) Act. Skills and Competencies: In-depth knowledge of relevant laws and regulations, particularly those governing financial services (e.g., FAIS). Strong analytical and problem-solving skills. Excellent communication and interpersonal skills. Ability to work independently and as part of a team. Strong attention to detail and organizational skills. Proficiency in compliance software and tools.
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