Compliance Researcher & Developer at Moonstone Information Refinery

Role Description

• The successful applicant will form part of the company’s compliance officer support team and will research, develop and improve the compliance services provided by the company to its clients. In addition, the successful applicant will also be required to peruse and settle legal agreements and attend to drafting of basic contracts.
• The successful applicant will also be registered as a compliance officer under supervision with the Financial Sector Conduct Authority and be provided the opportunity to complete the statutory period under the supervision of a duly qualified and experienced compliance officer.

Job Specification

• Researching and interpreting legislation, industry guidance notes and governance, risk management and compliance best practice methodologies.
• Developing, implementing and maintaining compliance monitoring systems, audits, template documents, policies and training material.
• Assist with the identification of legislative risks and improving compliance awareness through risk identification, stakeholder engagement and creating strategies to effectively determine and manage the broader regulatory risk environment
• Drafting and reviewing of contracts.
• Assist with the establishment and maintenance of procedures on the identification, reporting and resolution of compliance and regulatory issues
• Receiving, researching and managing internal and external stakeholder queries.
• Liaise with clients, prospective clients, compliance officers and industry role players.
• Writing relevant and informative articles that focus on the financial services industry.
• Staying informed on applicable legislation, industry developments and internal procedures. Ongoing review and analysis of new and existing legislation.
• General administrative duties.

Competencies

• Ability to interpret and apply legislation, writing skills, detail orientated, ability to work independently, driven, function well under pressure, analysing and reporting, high ethical standards and the ability to work to strict deadlines.
• The successful applicant will be required to research a variety of legal and compliance matters and have the ability to develop policies, standard operating procedures, controls and remedial actions. Exemplary drafting and writing skills is a non-negotiable for this position.
• A sound understanding of the law of contracts and the ability to draft agreements will be a distinct advantage.

Minimum Requirements

• LLB / 4 Year Law / Commerce degree or equivalent that has been recognised by the FSCA for Compliance Officers
• Computer literacy: Microsoft Office (Word, Excel & Outlook).
• Working knowledge of the financial services industry and legislation (FAIS, FICA, LTIA, STIA, etc.)
• Minimum of 2 years’ working experience in a legal, compliance or financial environment
• Good command of written and spoken English and Afrikaans.
• Must have a positive outlook, be presentable and self-motivated.
• Valid driver's license and own transportation.
• Advantageous: Strong working knowledge of FICA / AML
• Advantageous: Admitted attorney / Completed articles.
• Advantageous: Completed RE1, RE3 and/or RE5