Job Title:                                Compliance Officer

Business Portfolio:                 OMIG Compliance

Job Family:                            Corporate Governance

 

Vacancy Number:               IRC36663

 

Closing Date:                         24 March 2017

 CVs to be emailed to:         OMIGSATalent&Transformation@oldmutualinvest.com

 

 

The appointment will be made from the designated group in line with the Employment Equity Plan of
Old Mutual Investment Group and the specific business unit in question

  

I understand and accept that, by applying for this role, I authorise Old Mutual Investment Group, in its capacity as employer, to access my personal information stored on Oracle, and to utilise said information for recruitment purposes for this role.

  

A vacancy has arisen for a Compliance Officer.   In this role, the incumbent will play a key role in supporting the business unit Regulatory Compliance Manager by, implementation and maintenance of the compliance strategy and culture of compliance across the business unit.

    

Primary Functions

 

  • Establishes and embeds compliance in area of responsibility.
  • Familiar with the following legislation: Financial Advisory and Intermediary Services Act, Financial Intelligence Centre Act.
    • Some knowledge of the following would be considered advantageous: Financial Markets Act, JSE Membership Rules and Regulations
  • Ensures compliance within area by implementation/fulfilment of compliance risk management and monitoring plan.
  • Monthly and quarterly monitoring of the primary legislation impacting the business, including wider legislative, regulatory, company and industry standards.
  • Able to provide interpretive guidance on existing and forthcoming legislation.
  • Reports on compliance breaches to line management and Senior Compliance Officer/Compliance Executive.
  • Facilitates resolution of compliance breaches.
  • Assists in mitigation of compliance risk.
  • Address ad hoc compliance queries from the business.
  • Preparation of compliance reports, which reports are to either business or the regulator.

 
Basic Job Requirements

  

  • Recognized legal qualifications (e.g. LLB) and/or a professional designation (for example in the compliance field; CPrac or CProf).

  • 3 to 5 years relevant experience.

    • Experience within asset management would be advantageous.

  • Ability to work well under pressure, and is able to manage their time effectively.

  • Able to prioritise appropriately, and meet deadlines.

  • Deal effectively with conflict.

  • Team player and strong partnership building skills.

     

     

    Technical Competencies

    In addition to the Primary responsibilities, the candidate has to fulfil the following competencies. 

 

  • Quality Assurance: The ability to evaluate the extent that the controls in place ensure the meeting of legislative requirements
  • Communication: The ability to evaluate the extent that the controls in place ensure the meeting of legislative requirements
  • Software applications: Basic ability to utilise software applications
  • Competent Excel; Word user

    • Experience with SharePoint and CRM would be advantageous.

  • Regulatory Advisory: Research, gather data, complete an analysis and integrate into business requirements under supervision of senior compliance officers.
  • Compliance Monitoring: Execute the annual compliance plan and compliance monitoring programme under the supervision of senior compliance officer:
  • Regulatory Knowledge and Awareness, as applicable to the business