Website Alexander Forbes
The Compliance Manager is responsible for assisting the following business with the compliance landscape with oversight of the AF Investments legal entities. This includes the execution of compliance management strategies, plans and programs
- Assist the business in resolving (remedial action) compliance breaches to legislative requirements – identify all amendments to legislation, draft legislation and new legislative that impact or could impact the compliance universe
- Support, guide and educate the business on compliance related matters
- Align and embed BU standards, policies and procedures in line with Group standards, policies and procedures for compliance risk management that are in line with global best practice
- Develop knowledge and awareness of the external and competitor environment
- Ensure compliance matters outstanding from the Group FCC and other Projects for I, P & E are finalised.
- Oversee the responsibility for the collation of information for the various regulatory returns and ensure submission of the returns – in liaison with Group Compliance.
- Ensure consistent interpretation and implementation of legislative requirements
- Ensure company-wide commonality with respect to the compliance management principles and methodologies within the BU
- Provide guidance to the entire I, P& E Platform on compliance related matters, for new and existing products.
- Helping design and implement an overall compliance framework for the platform
- Implement and maintain the AF Group Compliance and Surveys tool for compliance risk management in the fulfilment of its monitoring obligations, record keeping and subsequent reporting to various stakeholders
- Collaborate with other platforms for the statutory entity view and with Group Compliance
- Provide guidelines for dealing with and escalation of compliance breaches
- Understanding of the financial services and investment management industry essential
- Experience and knowledge on the efficiency and design of internal controls.
- Experience leading small to medium sized teams and collaborating across multiple functions.
- Experience in enterprise compliance management with an understanding of the three lines of defence model.
- Minimum of five to seven years work experience in compliance and risk management, governance and assurance environment.
- Experience in compliance management frameworks.
- Exposure to the risk, regulatory and compliance environment for financial services.
Qualification & Experience:
- FAIS accredited for Category I, II, IIA, and III
- LLB or BComm (Hons) or BComm (Hons) Accounting or relevant degree with additional qualification in Compliance management.
- CFP preferable
- Membership to the following institute is advantageous: Compliance Institute of South Africa; Financial Planning Institute of South Africa
Company: Alexander Forbes
Vacancy Type: Full Time
Job Location: Sandton, Gauteng, SA
Application Deadline: N/A