Assistant Compliance Officer

EDUCATION AND EXPERIENCE

Minimum Grade 12 / Matric o RE5 (advantageous)

o Applicable degree and compliance experience in: o Insurance/Risk

o Legal

o Compliance

Call Centre Compliance experience

Financial services background incl. direct exposure to financial legislation

Minimum of 3 years’ compliance experience within Financial Services or Insurance

Experience or knowledge in Compliance with a focus on TCF, POPI, CPA, FAIS, Insurance legislation


COMPLIANCE

Support to the Head of Risk and Compliance:
Guidance and support to all business areas

Completion of monthly/quarterly compliance reviews/audits
o Implementing and managing monitoring functions


o Reports to management, executive committee and Board. o Business regulatory risk monitoring


o Maintenance of Regulatory Universe


o Ensure that a sound regulatory compliance framework and environment is maintained, by means of implementing and maintaining suitable


policies, processes and monitoring frameworks o Remain abreast of changes to legislation


o Engage the business on changes or requirements in applicable primary


legislation. Propose solutions that are efficient and effective, given business and environmental factors.


Provide commentary on impending legislation, and understand how it

pertains to the business.

Investigate, track resolution and report compliance breaches.

Maintaining of the competence register and representative registers o Attend to profile changes.

o Identifying possible compliance risks.

o Prepare annual compliance reports to FSCA.

o Assist in drafting and maintaining the Company’s compliance related

policies (examples: CPD, COI, debarment, TCF, POPI)

o Drafting and maintaining Risk management plan for FICA

o Maintain copies of insurance (PI cover) and documentation for the

Company;

o Attend to the renewal of insurance policies;


o Ensure that the company maintains the required levels of PI/IGF cover as per the requirements.


o Compliance reviews of scripts, websites, products, marketing material

etc.

o Focus on TCF, POPI, CPA, FAIS, Insurance legislation

Job ID : , #276, 51 views,

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