Compliance Manager
Prescient
Overview
The Compliance Manager will lead, support, and coordinate compliance activities for Prescient Fund Services and Prescient Management Company, managing a regulatory compliance team while ensuring adherence to legislative and regulatory requirements. Key responsibilities include identifying compliance risks and promoting a culture of compliance within the organization.
Requirements
- 5+ years compliance experience in a financial services environment
- FAIS registered Compliance Officer for Cat I
- Strong working knowledge of the South African financial service's regulatory framework
- Relevant tertiary qualification, ideally in Law or Compliance and Risk Management
Responsibilities
- Manage a team of Compliance Officers/Administrators
- Oversee licensing requirements and regulatory obligations
- Serve as the appointed FAIS Compliance Officer for a CAT I FSP and/or FIC MLRO and Compliance Officer
- Drive, oversee and maintain the development and monitoring of Compliance Risk Management and Compliance Monitoring plans
- Identify compliance focus areas and assist the business in building effective Compliance Risk Management Plans
- Assist the Head of Compliance in preparing reports for regulatory authorities and internal boards
- Maintain appropriate written procedures for compliance with legislation and group policies
- Promote a positive compliance culture and risk awareness
- Provide support in staff training and development regarding new regulations and legislation
How to apply
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