Officer, Compliance, Stockbroker

Job Description
Responsible for the Corporate Compliance Program, functioning as an independent and objective officer that reviews and evaluates compliance issues/compliance risk management concerns within the organization. o Ensures the management and employees follow the governing rules and regulations set by regulatory bodies, that the company’s policies and procedures are being followed and that behaviour in the organization meets the company’s Standards of conduct. Responsible for regulatory change management and interactions for both internal and external stakeholders.

• Provide support for the business, by understanding their business compliance risk management needs to achieve full awareness and compliance.
• Coordinate periodic reviews on regulatory policies and circulars that impact business in line with regulatory change management process.
• Effectively monitor the compliance level of policies such as Personal Trading and Other Business Interest declaration, Gift and Entertainment.
• Ensure in conjunction with the relevant stakeholders that right Risk Management practices are sustained.
• Ensure implementation of defined KYC processes and requirement for account opening in line with the regulation.
• Ensure regulatory guidelines are embedded with stakeholders and implemented within timelines.
• Ensure the implementation of compliance monitoring plans developed through assurance exercises.
• Remain aware of regulatory & legislative developments, and practices of regulatory authorities, which are relevant to the Business.
  

Qualifications

• BSc Finance and Accounting or related field.
• Relevant professional certificate ACCA, ACAMS or any other Compliance related certification can be an added advantage.
  

Experience

• Experience in financial services. Strong business knowledge in terms of applicable business area Ongoing, awareness of regulatory requirements which relate to the Group’s business as well as compliance best practices and trends.
• Experience in stakeholder management and interpersonal relationship capabilities and knowledge of financial products and services
  

Additional Information
Behavioural Competencies

• Checking Things
• Documenting Facts
• Embracing Change
• Examining Information
• Following Procedures
• Interpreting Data
  

Technical Competencies

• Client Knowledge
• Client Servicing
• Risk Awareness
• Risk Identification

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