Junior Compliance Officer at Adams & Adams

Areas of responsibility

• Assists the compliance manager to identify, assess, advise on, monitor, report, and provide training on the compliance risk of the firm.
• Assists the compliance manager to monitor processes, practices, and documents to identify gaps.
• Assists the compliance manager to evaluate business activities to assess compliance risk.
• Assists the compliance manager to identify, investigate, and resolve all activities that are deemed non-compliant.
• Assists the compliance manager to train employees.
• Keeps abreast of local and international standards and regulatory advancements.

Assists the compliance manager in the following areas:

• Privacy and data protection (POPIA and GDPR).
• FICA
• B-BBEE
• Anti-corruption
• Client Compliance Fulfilment

Role

• Assist in completion and drafting of Compliance Risk Management Plans.
• Perform compliance monitoring.

For Privacy and data protection specifically:

• Conduct monitoring to check compliance.
• Maintain records of all data processing activities of the company

For FICA specifically

• Conduct due diligence reviews.
• Onboarding customers
• Submitting reports to the FIC
• Provide training and awareness.

For B-BBEE specifically

• Assist in the process of routinely updating the score monitoring application to provide a quarterly indicative scorecard.
• Assist with B-BBEE audits including, arranging, compiling evidence file and audit execution.

For Client Compliance Fulfilment specifically

• Complete the firm’s responses to client questionnaires
• Secure appropriate responses to questions requiring specialist input as necessary
• Maintain a database of all client questionnaires including standard responses to routine questions

Requirements

Knowledge and experience

• Minimum of 1 years’ work experience.
• knowledge of at least one of the areas of responsibility.
• Experience in interpreting regulatory requirements

Personal attributes

• Ability to perform duties in a self-motivated and independent manner.
• Strong oral and interpersonal communication skills
• Outstanding writing and communication skills
• Ability to communicate complex issues in simple and user-friendly language
• Ability to balance the roles of trusted advisor and internal policing.
• Fluent in English
• Have a high attention to detail
• Ability to prioritise tasks in a high-pressure environment