Compliance Manager

• The Compliance Manager is responsible for creating and maintaining a comprehensive set of policies and procedures that govern trading activities within the company. These policies should cover areas such as insider trading, market manipulation, conflicts of interest, and anti-money laundering measures. Ensure that those policies are communicated to and understood by all employees.
• The Compliance Manager should stay updated on changes in relevant laws, regulations, and industry best practices. They need to interpret these developments and assess their impact on the trading company's operations. This includes monitoring changes from regulatory bodies such as the FSCA and PA.
• The Compliance Manager should regularly assess the trading company's compliance risks. This involves identifying potential compliance breaches, evaluating the effectiveness of existing controls, and recommending improvements to mitigate risks.
• The Compliance Manager is responsible for designing, coordinating and delivering compliance training programs to ensure that employees are aware of their obligations and responsibilities. This includes educating traders, salespersons, and other relevant staff on applicable laws, regulations, and company policies.
• Implement AML and KYC procedures to prevent illegal financial activities and verify the identity of customers. Monitoring and reporting transactions for suspicious activities. Updating and maintaining the country risk assessment.
• Prepare, submit and present reports on the Companies compliance arrangements to Management, Governance Committees and Regulatory authorities. Ensure accuracy and compliance with deadlines.
• Oversee the handling of customer complaints and disputed related to compliance issues. Develop and maintain procedures for prompt and fair resolution.
• The Compliance Manager needs to establish a system for ongoing monitoring and surveillance of trading activities. This includes monitoring for suspicious or illegal activities, such as market abuse or insider trading, and implementing appropriate surveillance tools or technologies.
• Conduct reviews of applicable company documentation being published to ensure adherence to regulatory and compliance standards.
• reviewing, assessing and monitoring partner deals, websites and other promotional means and materials of the partners, ensuring that they follow guidelines and code of conduct
• If there are suspected compliance violations or breaches, the Compliance Manager is responsible for conducting thorough investigations. This may involve gathering evidence, interviewing relevant personnel, and documenting findings. Regular audits should also be conducted to ensure compliance with established policies and procedures.
• Conducting compliance reviews for internal marketing and partner marketing communications, ensuring adherence to regulatory and compliance standards.
• Providing expert compliance and regulatory insight into business processes and strategy, new product developments and research.
• working with the DPO office to ensure client, company and individual information is kept secure through the company processing and collection of personal data. Ensuring adherence to data protection laws, POPI, PAIA.
• Maintain strong relationships with the team, senior management and key stakeholders.

Desired Experience and Qualifications:

• A bachelor's degree in Law, or a related field. RE 5, RE1 also advantageous
• 5+ years’ professional experience in Compliance management within a regulated financial services environment.
• Experienced with regulatory engagements.
• Excellent understanding of regulatory compliance requirements in South Africa.
• Ability to work well under pressure, manage multiple projects, and meet tight deadlines.
• Experience with Jira tools advantageous.
• Ability to manage processes end-to-end.

The Compliance Manager must possess an excellent understanding of applicable laws, regulations, and industry standards relevant to the organization's operations. This includes knowledge of regulations such as FMA, ODP Conduct Standards, FAIS, POPIA, PAIA, Anti-money laundering (AML), Know-your-customer (KYC), Data privacy, Anti-bribery, and securities regulations.

Required to have industry-specific knowledge and expertise. This includes understanding the unique compliance challenges and requirements.

Professional certifications related to compliance. Some widely recognized certifications include Certified Compliance and Ethics Professional (CCEP), Certified Anti-Money Laundering Specialist (CAMS), or Certified Regulatory Compliance Manager (CRCM).

The Compliance Manager should have strong analytical skills to assess compliance risks, conduct investigations, and develop effective solutions.

Compliance work requires meticulous attention to detail to ensure accuracy and completeness of compliance documentation, reports, and filings. The ability to spot inconsistencies or potential compliance breaches is crucial.

The Compliance Manager must possess excellent communication skills to effectively communicate compliance requirements, policies, and procedures to employees at all levels of the organization.

The Compliance Manager must demonstrate a high level of ethical standards and integrity. The candidate should be committed to promoting a culture of compliance, acting as role models, and ensuring ethical behaviour throughout the organization.

The candidate should possess strong problem-solving and decision-making skills to navigate complex compliance issues. They should be able to assess risks, evaluate potential solutions, and make informed decisions to address compliance challenges effectively.

Staying updated on the latest compliance trends, best practices, and regulatory changes is crucial. The candidate should demonstrate a commitment to continuous learning, participate in relevant training programs, and engage in professional development opportunities

Pay: R35 000,00 - R55 000,00 per month

Work Location: Hybrid remote in Johannesburg South, Gauteng