Business Enablement Regulatory – Sandton

Job Purpose:
The purpose of the Business Enablement:
Regulatory role is to implement, maintain and manage the regulatory requirements within the business function in an efficient, impactful, relevant and sustainable manner.

Job Responsibilities:
Main areas of responsibility will include:
• Creation and updating of compliance risk management plans and the monitoring of compliance in terms
thereof. This applies to both the primary and secondary legislation applicable to the business.
• Implementing, maintaining and managing of a regulatory compliance management framework within the
business in accordance with the overall risk management framework and group requirements.
• Creating, implementing and maintaining processes to meet regulatory requirements and mitigate the
identified compliance risks within the business.
• Maintaining a compliance culture within the business.
• Analysis of legislation and application thereof and advising business on regulatory changes which may
impact compliance management within the business.
• Establishing and maintaining relationships with internal and external stakeholders.
• Assisting business in creating processes to mitigate the identified compliance risks within the business.
(With a focus of FICA)
• Assist in drafting and implementation of compliance policies.
• Assist in drafting, implementing & managing annual compliance management plan.
• Complaint investigation.
• Administrative duties related to the above.
*This is not an exhaustive list of responsibilities*

Qualifications
• Relevant degree (preferably a law degree) (required)
• Computer literate and must be proficient in MS Office (required)
• Post graduate compliance or risk management qualification (advantageous)
• CISA CPrac or CProf Designation (advantageous)

Knowledge and Experience Required:
• Minimum of 3 years’ compliance experience in a risk or compliance role in a category I or II financial services provider environment.
• Understanding of the financial services industry, specifically advisory.
• Knowledge of the requirements, implementation, application and monitoring of FAIS, FICA and TCF.
(Specifically, FICA)
• Knowledge and understanding of legal principles and ability to interpret legislation.
• Knowledge and understanding of compliance risk management principles.
• Knowledge and understanding of the Financial Services Industry.

Advantageous:
• Knowledge of other legislation applicable to the business, e.g. Collective Investment Schemes Control Act,
Companies Act, employment law.
• Knowledge of broader risk management and regulatory matters.
• Compliance experience in a category II environment.

Job Competencies
• Excellent verbal and written communications skills.
• Attention to detail.
• Analytical skills and the ability to work in a methodical and organized manner.
• Administratively strong.
• Critical thinking skills.
• Ability to work independently and deadline driven.
• Assertiveness.

Attributes
• Ability to build good relationships.
• Articulate.
• Initiative-taking & resourceful.
• Ability to work under pressure.
• Ability to multi-task.
• Willingness to perform a wide variety of tasks and to continuously learn and improve