Compliance Officer | Compliance | Assurance at Allan Gray Proprietary Limited

Role responsibilities

• Drafting, maintaining, and enhancing Compliance Monitoring Plans (“CMPs”) 
• Determining the amount, frequency and type of monitoring needed to satisfy the CMPs.
• Monitoring of relevant legislation/ internal rules and/ or policies impacting the business, including wider legislative, regulatory, company and industry standards, and pro-actively assists the business in implementing new and/or amended regulatory requirements.
• Draft and submit status, committee and/ or board reports.
• Track instances of non-compliance and liaise with responsible person(s) to ensure agreed action plans are implemented.
• Where necessary, interacting with regulators, industry bodies and internal/ external stakeholders.
• Review the training register to check whether comprehensive training programs have been implemented, and whether all the relevant personnel have been trained.
• Active participation in consultative and lobbying structures regarding legislative and regulatory developments.
• Responsible for the completion and/or maintenance of Regulatory Universe.
• Cultivates constructive relationships which results in the Business proactively seeking Compliance involvement.
• Developing and training Junior Compliance Officers. 

Competencies and attributes

• Good management and leadership ability.
• Methodical, thorough, and attentive to detail.
• Passionate, dynamic, proactive, and driven.
• Impartial and challenging (independent minded).
• Good ethical judgement.
• Excellent emotional intelligence.
• Ambitious and avid learner. 
• Ability to work efficiently without close supervision.
• Team player.
• Adaptable and resilient.
• Self-motivated, organised and deadline driven.
• Excellent Microsoft Office skills - MS Outlook, Word, Excel, Visio, PowerPoint etc.

Skills

• Effective negotiation and influencing skills.
• Strong analytical, investigative, problem solving and probing skills.
• Solid report-writing skills and presentation skills.
• Excellent communication and interpersonal skills, including communicating effectively with colleagues and external parties (clients, regulators, and industry bodies).
• Good time management skills

Education and experience

• Legal and/or Commercial Degree,
• A minimum of 3-4 years Financial Services experience, specifically Investment Management.
• Relevant experience within the financial services industry, specifically relating to the operations of Category I, II and III FSPs, a CIS Manager, Long-Term Insurer and Pension Funds.
• Proficiency in the Financial Advisory and Intermediary Services Act, Collective Investment Schemes Control Act, relevant insurance legislation and relevant anti-money laundering legislation, and working knowledge of the Pension Funds Act and relevant data protection legislation.
• Passed the applicable FSCA Regulatory Exams advantageous. 
• FAIS approved Compliance Officer with the FSCA advantageous.
• Compliance Professional registered with the Compliance Institute of South Africa will be advantageous.