Head of Legal and Compliance
A dynamic JSE listed financial services institute based in Pretoria is looking for an experienced and knowledgable Compliance Exec to Manage and develop the legal & compliance function for the company.
Provide leadership and direction for division’s compliance team
Engage financial advisors, colleagues and management in compliance matters to ensure the effective delivery of legal and compliance processes and activities
Liaise with regulators and other stakeholders
Manage the division’s legal agreements process (reviews, amendments, updates, vetting, signing and administration of all agreements)
Draft various types of agreements pertaining to the divisions requirements (e.g. appointment, book-buy, legal debt recovery)
Manage outsourced contracts with service providers to ensure contracted services are provided as per signed service level agreements
Engaging and briefing of external legal counsel
Oversee and manage FAIS & FICA compliance across the business unit, ensuring that the company and its employees comply with regulatory requirements as well as internal policies and procedures.
Establish and implement an effective compliance plan, including but not limited to the management of compliance monitoring, risks, risk mitigation strategies, supervision-, Fit & Proper, registers, client complaints and training initiatives, to ensure proper conduct. Implement, monitor and manage this plan as required.
Maintain, optimise and implement sustainable compliance processes and controls to ensure a continued high level of compliance.
Together with the compliance team, implement all necessary actions as per the compliance plan to ensure achievement of the compliance plan objectives.
Continually monitor alignment of compliance management practices with industry relevant regulation and legislation.
Keep senior management informed of the operation and progress of compliance efforts, but also objectively highlight potential risk areas or compliance breeches.
Submit statutory compliance returns to relevant Regulatory bodies.
Responsible for internal reporting on all compliance activities, compliance risks and breaches.
Stay abreast of legislative developments and implement recommendations as per the Group compliance standards.
Maintain relationships with the business areas, internal and external audit and other related compliance risk management functions.
Provide advice, awareness and training to the company and its employees on specific provisions of the applicable Acts and communicate new regulatory requirements and risks via training and communication initiatives.
ADDITIONAL INFO / SOFT SKILLS:
Strong command of MS Office
Management and leadership skills
Planning and execution
Ability to apply facts to the rules and regulations
Attention to detail
Have a practical, flexible and hands-on approach towards your work
Strong communication, reporting and presentation skills
SALARY AND BENEFITS: R750 000 – R850 000 CTC p/a
Should you meet the above minimum requirements, please submit your CV and a copy of your ID and Qualifications to [email protected] . Please quote the TITLE of this vacancy in the subject line of your email as reference. Should you not receive a response within 2 weeks please consider your application unsuccessful, however we will keep your details on record for suitable future roles. Thank you.