Description

Introduction

A position has become available for a Compliance Specialist to join our dynamic team, based in Rivonia.

The primary role of a Compliance Specialist is to ensure the adherence to the companies code of conduct, local and international regulations and standards. Recognizes and provides feedback on any breach in company protocol. Encompasses non-conformity, corrective and preventative actions.

Duties & Responsibilities

  • Resolve escalated queries
  • Conduct or direct the internal investigation of compliance issues
  • File appropriate compliance reports with regulatory agencies
  • Discuss emerging compliance issues with management or employees
  • Provide employee training on compliance related topics, policies or procedures
  • Remain abreast on industry changes
  • Design or implement improvements in communication, monitoring or enforcement of compliance standards
  • Oversee, manage and drive compliance team
  • Reporting on risk and compliance issues
  • Process and strategy implementation
  • Management of Call monitoring and KYC functions

Desired Experience & Qualification

  • Relevant tertiary qualification (Law/Finance/Banking/Economics)
  • Compliance related experience in a regulated financial environments (Advantageous) 
  • An experience in a retail trading environment – foreign exchange or CFD trading (Advantageous)

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