Robert Walters is a global, specialist professional recruitment consultancy.
"Our story begins in 1985, when our CEO, Robert Walters, opened the first office in Central London. Rob has led the company ever since and has the same passion and commitment today.
Over the last 30 years the business has grown and so has our ambition. We now operate across 2...
As Head of Compliance Operations, you will be instrumental in establishing a new Compliance Operations team. Your role will involve taking ownership of key policies related to information management, conducting reviews, onboarding trading counterparts, developing new business strategies, supporting compliance teams, onboarding senior advisors, and providing training to employees.
Play a key role in appropriate management and control of material non-public information (MNPI)
Manage Expert Networks by maintaining a list of approved firms, reviewing call requests, and address any issues
Monitoring Code of Ethics and other conflicts of interest policies
In due course you will take over the regulatory reporting and anti-money laundering functions in Cape Town
Create and enforce information barriers, ethical guidelines, allocate funds and resources across platforms
Perform relevant reviews of wall crossing requests and ensure that appropriate records are maintained
Undertake onboarding of trading counterparties and trading platforms
Evaluating employee conflicts of interest in line with policies and procedures
Identify and report non-compliance regarding policies on ethics, personal account trading, market conduct, information barriers
Support regional and platform Compliance teams with CMP (Compliance Monitoring Programme) testing
Updating and managing Governance, Risk and Control system (GRC)
Support other reporting including Quarterly flash reports, Monthly flash reports, MLRO reports, Risk Assessment Report, SMCR Report, etc.
The ideal candidate for this Head of Compliance and Operations role will bring proven professional experience within financial institutions. You should have prior experience leading compliance monitoring or surveillance teams.
BCom Finance / LLB or relevant degree
Hold a South African or international accountancy, compliance, risk and financial analysis professional qualification/certificate
8-10 years’ experience in a financial control room, compliance monitoring, surveillance monitoring team in a financial institution
Experience in an Investment Bank, Securities Bank, Brokerage, Wholesale Bank or Alternative Asset Manager
Prior leadership roles in a similar Head of Operations or Head of Control Room
Experience in centralising and integrating various Compliance systems
Strong digital skills in particular data skills to extract, consolidate and analyse data from disparate systems
Collaborative and inclusive approach to working with colleagues
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