Specialist: Compliance (Market Conduct)

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Specification
Duties & Responsibilities:
Assisting Compliance Manager to analyze, monitor and track regulatory risk indicators;
Assisting Compliance Manager with the drafting of compliance related policies, agreements and memoranda regarding Market Conduct;
Assisting Compliance Manager in ensuring compliance to all relevant regulatory requirements identified in Assupol’s regulatory universe;
Assisting line management with understanding the various requirements in order to comply with all applicable legislation, regulations etc. across business activities;
Ensuring the continued flow of information, updates and advise to various Line managers on new legislative changes and the impact thereof on the business and ensuring that management understand the risks to the business;
Building and maintaining strong relationships with all the applicable Regulators;
Identify non-compliances as to identify potential risks
Drafting final reports in respect of compliance monitoring to line management;
Follow up on identified risks, trends and corrective action to be taken by the relevant stakeholders
Identify opportunities to improve or enhance business processes;
Proactively consult with management in order to align market conduct requirements to current and future business activities;
Support Compliance Manager in preparing an annual compliance monitoring plan based on high risk areas.
Identify training needs through monitoring and other methods;
Develop training material to address identified needs;
Provide training on identified needs and on relevant regulatory requirements that impact the employees.


Requirements
1. Qualification:
LLB or equivalent
2. Technical/Legal Certification
RE1 (Advantage)
Member of CISA will be an advantage
3. Experience
2 – 5 years’ experience in compliance and / or corporate governance
Financial regulatory compliance experience
Experience in Regulatory Compliance (Financial Advisory & Intermediary Act, and Long-term Insurance)
Experience in Financial Sector Regulation Act (Advantage)
4. Knowledge
Long-term Insurance (or financial services) regulatory knowledge;
5. Skills
Excellent communication, presentation, negotiation skills
Creative thought, innovation, independence with an ability to work as a team member
Solutions orientation rather than technical rule-based approach
Interpretive abilities specifically with regard to legislation and regulation
Problem solving ability

Job ID : , #1226, 4 views,

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