Head of Compliance

• Oversight of Compliance: Lead and oversee all compliance-related activities, ensuring strict adherence to regulatory standards and industry best practices.
• Development of Policies and Procedures: Create, implement, and update compliance policies and procedures to reflect evolving regulations and industry guidelines.
• Monitoring of Regulations: Stay informed about relevant laws, regulations, and directives affecting the financial services and investment industry. Assess their impact on our organization and suggest necessary adjustments.
• Training on Internal Compliance: Design and deliver compliance training programs for employees at all levels to cultivate a culture of compliance.
• Assessment of Risks: Conduct regular assessments of compliance risks to identify potential weaknesses and develop strategies to address them.
• Reporting and Documentation: Prepare and submit accurate compliance reports to senior management and regulatory bodies in a timely manner.
• Enhancement of Internal Controls: Review and improve internal control processes to prevent compliance breaches and enhance efficiency.
• Investigation of Compliance Issues: Lead impartial investigations into reported compliance concerns or incidents, ensuring thorough analysis and resolution.
• Management of External Relations: Serve as the primary point of contact for regulatory agencies, responding promptly and professionally to inquiries and requests.
• Coordination of Compliance Audits: Manage internal and external compliance audits, collaborating closely with auditors to address findings and implement corrective actions.
• Team Leadership: Provide strong leadership and guidance to the compliance team, fostering a collaborative and high-performing environment.
• Alignment with Strategy: Ensure that the compliance team's activities are aligned with the strategic objectives of the organization.

• Bachelor’s degree
• Minimum of 10 years of compliance experience in the financial services sector
• FAIS, FICA, POPIA, PFA, LTI, and CISCA
• Minimum of 3 years of successful experience in compliance management, including the implementation of effective compliance programs.

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