Senior Compliance Officer

What will you do?

Compliance framework and governance

• Support the Head of Compliance in maintaining a robust compliance function within the business risk framework
• Incorporate new legislation into existing frameworks and processes
• Ensure regulatory obligations and compliance deadlines are met

Policy and regulatory implementation

• Develop, update and implement compliance policies and procedures across key regulations
• Monitor adherence to rules, policies and limits, and recommend enhancements
• Monitoring and risk management
• Develop and maintain Compliance Risk Monitoring Plans CRMPs, Compliance Monitoring Plans CMPs and Working Papers WPs, including defining monitoring scope and frequency
• Conduct independent reviews to identify compliance risks and implement corrective actions

Systems, reporting and optimisation

• Develop and maintain tools and systems to support compliance monitoring
• Stakeholder engagement and support
• Support regulatory engagement alongside the Head of Compliance
• Support training initiatives on compliance and new legislation
• Assist in oversight of junior compliance team members on regulatory tasks

General

• Perform ad hoc compliance-related tasks as required

What will make you successful in this role?

• Success in this role requires solid compliance experience within financial services, with a strong understanding of financial markets, instruments and the regulatory landscape. You bring deep working knowledge of key legislation, particularly FAIS and JSE requirements, and are comfortable operating across CAT I and CAT II FSP environments, applying regulation practically within a business context rather than purely theoretically.
• You have the credibility and professional grounding expected of a senior role, including relevant industry exposure and ideally professional affiliation or certification in compliance. You are able to operate independently in a high-accountability environment, using strong analytical thinking and judgement to interpret regulation, manage risk and meet regulatory deadlines.

Qualification and experience

• B Com Law, LLB or similar FSCA recognised qualification
• FSCA RE Examinations completed
• Eligible for FAIS Compliance Officer and/or JSE Equity Compliance Officer registration
• 5 – 7 years compliance related experience in the financial services industry
• SAIFM Compliance certification an advantage
• Member of the Compliance Institute of Southern Africa an advantage

Knowledge and skills

• Strong working knowledge and practical application of financial markets legislation
• Sound understanding of key regulatory frameworks, particularly FAIS and JSE Equity Rules and Directives, with broader exposure to FICA, AML, FATCA, POPIA and Regulation 28; SARB and NCA advantageous
• Strong computer literacy, including MS Office, FAIS e-Portal and JSE BDA systems; exposure to Copilot and other AI tools advantageous
• Strong numeracy skills and sound technical understanding of financial products and instruments
• Well-developed research and due diligence capability
• Ability to interpret regulatory requirements within a broader business context and apply sound, balanced judgement
• Ability to identify opportunities for process improvement, system optimisation and automation
• Insight into the application of AI and robotics within a compliance environment advantageous

Personal qualities

• Assertive, self-motivated and achievement-driven, with a strong commitment to personal and organisational success
• Strong time management, prioritisation and planning capability, with the ability to manage a diverse and complex workload
• Able to work independently with minimal oversight, demonstrating strong accountability
• Strong analytical and logical thinking capability
• Excellent written and verbal communication skills, including report writing
• Strong organisational and administrative capability, with a high attention to detail, accuracy and deadlines
• Proactive, solutions-oriented thinker with the ability to interpret regulation pragmatically
• Resilient and able to perform effectively in a high-performance, pressurised environment
• Demonstrates sound independent judgement and decision-making under pressure
• Strong negotiation and influencing capability
• Able to operate at both a strategic and detailed level, with the ability to implement processes and frameworks
• High ethical standards, with a professional, honest, transparent and dependable approach
• Adaptable, quick to learn and able to think creatively
• Professional, approachable and positive in engagement