Compliance Officer at ThinkSales Corporation

The Role

ThinkMarkets is a global online brokerage firm, specializing in providing multi-asset trading solutions to thousands of clients around the world. With our flagship ThinkTrader platform, we allow our clients to trade the world 24-hours a day. Our mission is to disrupt the brokerage industry by allowing access to global markets and thousands of products to allow our clients to trade the world in the palm of their hand. We use the latest technologies to give traders seamless access to our proprietary trading platforms.

We are seeking a motivated and professional Compliance Officer to join our rapidly growing team. Based out of our South Africa office, the Compliance Officer will be responsible for all domestic legal matters as well as providing strategic, regulatory, and governance advice to the company as a whole.

This person will be directly involved in complex business transactions, negotiating critical contracts, and overseeing the day to day legal function of the South African region. Apart from a legal and compliance background, the ideal candidate should have direct work experience in the financial services industry.

Responsibilities:

• Plan and execute legal initiatives and reviews for South Africa
• Ensure that the organization respect all laws, rules, and regulations when conducting financial transactions
• Assist with the development and implementation of compliance management plans, policies, processes and monitoring to ensure the organisation complies with laws and regulations, and statutory and supervisory requirements
• Advise business units on options for remediating regulatory compliance issues
• Evaluate firm’s compliance with applicable laws, regulatory requirements, and firm policies and procedures
• Proof, edit and Submit updated licence applications to the FSCA, create documents and presentation materials
• Update the FAIS Rep Register/Competency Register
• Conduct internal audits and report any and all compliance violations
• Conduct legal research and prepare written memos, articles, and other correspondence
• Anticipate, identify, advise on, and mitigate legal risk that arises in relation to programs and activities
• Prepare and submit monthly, quarterly, and annual reports
• Establish and embed compliance culture across the Company and its entities
• Monitor and interpret industry developments and relevant laws and regulations
• Draft internal policies and procedures
• Collaborate with External Compliance Officer, Regulators, and Legal department
• Assist in the designing and implementation of all administrative processes and procedures in adherence to company policy

Requirements:

• Higher education degree in Legal studies 
• Must have RE5 Qualification
• Minimum 2-3 years post qualification experience in a financial services environment
• Highly preferred qualifications include: RE1 Qualification and RE5 FSCA approved Compliance Officer license
• Working experience with corporate governance matters and securities law
• Strong working knowledge of financial services regulations
• Demonstrated experience in and passion for financial regulations and compliance, intellectual property, technology, real estate, commercial contracts, and employment law

Skills:

• High degree of professional ethics, integrity, and gravitas
• Ability to demonstrate exceptional problem solving and critical-thinking, project-management, and independent judgement
• Excellent written and verbal communication and interpersonal skills with the ability to develop and maintain effective working relationships with executive management, business partners, and regulators
• Must be a team player who is willing to pitch in where needed in a fast-paced, dynamic company
• Advanced skills in Microsoft Office Suite