Compliance Officer

We are looking for a Compliance Officer to join our Firm. The successful candidate will be responsible for ensuring compliance with regulatory and legal requirements as well as internal policies and procedures, with the objective to maintain the firm’s internal controls and adequately measuring and managing risks. The incumbent will be required to provide an in-house service that effectively supports business areas in their duty to comply with relevant laws.

Duties and Responsibilities

• Implement and manage an effective legal compliance framework.
• Review, manage and continuously develop the firm’s client onboarding process to ensure compliance with all relevant legal requirements.
• Design, implement and manage an employee training program for compliance including the identification of core competencies, a training schedule, and training records.
• Design, implement and manage a quality control system to ensure compliance with internal guidelines and procedures.
• Develop and maintain reporting tools and reports.
• Manage and maintain the company policy register and policies, including implementing and managing a policy review and update cycle.
• Assist in the review of company policies against external legal requirements.
• Advise management on the company’s compliance with laws and regulations through detailed reports, including compliance in respect of data security, personal information, financial regulations, and other external legal requirements
• Develop, implement and manage an effective Service Level Agreement workflow that ensures compliance with our internal policies and procedures.
• Pro-active identification of opportunities for system improvements in relation to compliance, risk and quality control.
• Custodian of compliance and continuous improvement culture at Spoor & Fisher.
• In conjunction with the HOO and relevant partners, develop automated reporting and the implementation of relevant compliance management and risk management software, where appropriate.
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Assess company operations to determine compliance risk, identify overlap in function and duplication in efforts and propose process improvement in managing risk and compliance to client requirements.

Qualifications and Experience

• Bachelor’s degree in Law, Accounting or Business Science.
• 4+ years’ experience in Compliance
• Post Graduate Diploma in Compliance Management would be advantageous
•  Risk Qualifications will also be an advantage
• Compliance institute of Southern Africa Designation (CPRAC- SA) would be an advantage

Knowledge and Skills

• Research and Analysis
• Analytical thinking and ability
• Excellent communication skills
• Legal and moral integrity
• Strategic thinking
• Good command of the English language
• A team player
• Agility and adaptability to a fast-paced environment