Compliance Officer at EXL South Africa

About the job

• Ensure compliance with FCA regulations, policies, and procedures within the organization. Provide first-line compliance support to business units, identifying and mitigating regulatory risks

Description:

• Ensure compliance with FCA regulations, policies, and procedures within the organization. Provide first-line compliance support to business units, identifying and mitigating regulatory risks

Responsibilities:

• Compliance Advisory: Provide guidance on FCA regulations, policies, and procedures.
• Risk Identification: Identify, assess, and mitigate regulatory risks.
• Policy Implementation: Develop, implement, and maintain compliance policies.
• Monitoring and Surveillance: Conduct regular monitoring and surveillance.
• Training and Awareness: Deliver compliance training to business units.
• Regulatory Updates: Stay up-to-date with FCA regulatory changes.
• Audit and Compliance Reviews: Participate in internal audits and compliance reviews.
• Issue Resolution: Investigate and resolve compliance issues.

Key Performance Indicators (KPIs):

• Compliance breach reduction.
• Regulatory exam results.
• Training participation and feedback.
• Policy update and implementation timelines.
• Risk assessment and mitigation effectiveness.

Qualifications and Skills

Required Skills:

• Strong knowledge of FCA regulations and guidelines
• Compliance experience in financial services
• Analytical and problem-solving skills
• Effective communication and stakeholder management
• Risk management expertise

Education and Certifications:

• Bachelor's degree in law, Finance, or related field preferred 
• Compliance certification (e.g., CCEP, CCO, FCA)