Compliance And Risk Manager

Roles and Responsibilities

Role Summary: The purpose of the role is to ensure that the company remains compliant with relevant legislation and compliance requirements by assessing and mitigating significant competitive, regulatory, and technological threats to the company. The Compliance Manager acts as the primary liaison and owner for all risk-related due diligence, execution, and support, working in parallel with all departments and Compliance toward ensuring that the company is operating safely.

Working Nature and Hours: In office, Monday to Friday, 8:00 am to 4:00 pm with a 1-hour lunch break included. Due to the nature of the business, it is required that you avail yourself to clients/urgent matters outside of these hours.

Requirements:

1. NQF 5 (Wealth Management or Equivalent)
2. 5 - 7 Years Experience of Risk and Compliance experience within the Financial Services Sector
3. Knowledge of Financial Services Industry & Financial products risk, insurance, investment, medical aid, and fiduciary
4. Knowledge of Investment products structured investments, model portfolios, share portfolios, unit trusts, private equity, and debt

Job Description (Not limited to):

1. Regulatory Compliance: Ensure the company complies with all relevant FSCA regulations including FIAS and monitor, implement, and manage thereof.
2. Advisor Commission Queries: Manage and assist with all advisor commission-related queries, ensuring they are addressed promptly and in line with compliance requirements.
3. Advisor Onboarding: Oversee the onboarding process for new advisors, including opening Advisor Codes with Product Providers.
4. Risk Management: Identify, assess, and mitigate compliance risks within business operations.
5. Compliance Training & Awareness: Develop and deliver compliance training to staff and advisors, ensuring a comprehensive understanding of relevant regulations.
6. Internal Collaboration: Work with various departments (legal, risk, finance, operations) to ensure compliance is integrated into all business activities.
7. Ad-Hoc Duties: Responsibility for acting as/on; FIC compliance, money laundering officer, complaints & Information officer, Information, Products and services, FSP agreements, approval of advisor onboarding.

Employment Details:

1. Employment Type: Permanent Employment
2. Industry: Financial Services
3. Work Space Preference: Work Onsite
4. Ideal Work Province: Gauteng
5. Ideal Work City: Centurion
6. Salary Bracket: R -
7. Drivers License: CODE B (Car)
8. Own Car Needed: Yes