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Job Advert Summary
To ensure the quality of advice provision within the LBS Graduate Division by implementing and maintaining compliance risk management guidelines and policies and to facilitate the monitoring and reporting of all compliance related functions including breaches within the Business Unit through application of risk management principles.
Minimum Requirements
Qualifications:
- Matric.
- 3- year degree.
Knowledge & Experience:
- At least 2 years’ experience in financial services compliance.
- Financial Services Regulatory Environment.
- Legislative Knowledge.
- Risk management methodology.
- Compliance management.
Computer Literacy:
- Is proficient in the use of the latest MS Office package, particularly Excel (advanced).
- Sharepoint.
- TEAMS.
Interpersonal and Intrapersonal Skills:
- Facilitation.
- Conflict Handling and resolution.
- Influencing.
- Analytical Thinking and detail orientation.
- Time management.
- Collaborative.
- Sense of urgency.
- Results & Learning orientation.
- Emotional Intelligence.
Duties and Responsibilities
Key Responsibilities:
- Integration and application of compliance risk assessments and compliant risk management plans for prioritised regulatory items and business practices.
- Review and maintain compliance and supervision monitoring.
- Compliance monitoring activities.
- Recommended corrective actions – prescribing and escalations.
- Implementation of requirements arising from new and amended regulatory items.
- Compliance training on regulatory items and business requirements.
Compliance reporting. - Support business in providing necessary updates.
- Manage, maintain and reporting of representative fit and proper status through internal recording keeping and systems.
- Leads – to make sure that the leads that are sent out, is POPIA compliant.
Strategic Orientation:
- Knowledge and understanding of the financial services regulatory environment.
- Acts with confidence and works independently within a team environment.
- Provides input relating to the improvement and efficiency of the Financial Planning Compliance process.
Communication:
- Is articulate and communicates in a logical way and structures information to meet the needs and understanding of intended business requirements.
- Expresses opinions, information and key points of view clearly and assertively.
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