Stockbroking Compliance Officer

Greenpoint
Opportunity in a Legal & Compliance Officer role within a dynamic Financial Services Provider situated in Green Point, Cape Town. The candidate will be appointed as the internal FAIS and Section 43 FICA Compliance Officer and will be responsible for governance of risk and compliance.

 SKILLS:

-          Excellent interpersonal skills.

-          Exceptional verbal and written communication skills.

-          Strong relationship management (internal & external).

-          Good organisational skills.

-          Exceptional attention to detail.

-          Able to work under pressure, independently and as part of a team.

-          Personal accountability.

-          Strong decision maker.

-          Ability to work independently and as part of a team.

-          A proactive, ''''''''''''''''''''''''''''''''can do'''''''''''''''''''''''''''''''' attitude at all times.

-          Self-motivated, hard-working and enthusiastic.

-          Meticulous in drafting documents and focussed on detail.

-          Microsoft Office, Word & Excel skills.

 RESPONSIBILITY

 -          FAIS and Section 43 FICA Compliance Officer responsible for
           governance of risk and compliance.

-          Fulfil compliance function required in terms of FAIS, FICA and other               applicable legislation and business requirements.

-          Expert knowledge of FAIS and FICA and all the regulations.

-          Good understanding of POPIA, ASISA and relevant CIS Hegde Fund                 FSCA Board Notices.

-          Establish a culture of compliance and maintain a compliance risk         
           framework together with the external compliance officer.

-          Ensure that TCF outcomes are achieved.

-          Working with external compliance to implement and maintain policies.

-          Oversee mandate compliance and mandate monitoring.

-          Analysis and implementation of regulatory changes.

-          Assist in the implementation of new legislative requirements.

-          Provide training or prepare material on regulatory changes.

-          Sign off on FICA, client risk rating and due diligence documents.

-          Maintaining the RMCP and ensuring that the procedures are followed.

-          Reviewing and drafting SLA’s and agreements to be entered into       
           between clients, services providers and stakeholders.

-          Review of legal documents with service providers.

-          Liaising with the regulators as and when required. 

-          Processing Representative and KI applications.

-          Implementing CPD and internal training plans.

-          Processing new FSP applications.

-          Technical support in terms of compliance and legal queries.

 REQUIREMENTS:

-          Legal degree.

-          FSCA recognised qualification.

-          Registered Category I, II and IIA Compliance Officer with the FSCA 
           would be advantageous.

-          Minimum 3 years’ experience in compliance or risk management     
           within the financial services industry.