Compliance Officer

You will play an important role in promoting a strong compliance and ethical culture, ensuring that regulatory obligations are reflected in day-to-day business practices and supported by effective controls.

• Establish, implement, maintain and continuously enhance the regulatory compliance framework across the FSP.
• Support the operational implementation of the Group Governance Framework.
• Promote sound governance and a strong compliance and ethical culture across the business.
• Ensure that applicable legislation, regulatory requirements, licence conditions, internal policies and approved compliance standards are embedded in business practices.

• Proactively identify and assess compliance risks.
• Conduct risk-based compliance monitoring and regulatory oversight.
• Assess the effectiveness of compliance controls and identify areas requiring improvement.
• Track remediation actions to address identified compliance gaps and risks.
• Ensure regulatory obligations translate into effective controls, demonstrable business practices and measurable customer outcomes.

• Provide independent compliance advice, oversight and assurance to management and relevant governance structures.
• Monitor regulatory developments and advise the business on their implications.
• Conduct regulatory monitoring and reporting.
• Report clearly on the effectiveness of the compliance control environment.
• Support the organisation in maintaining an effective regulatory compliance environment.

• Relevant tertiary qualification in Law, Compliance, Risk Management, Finance or a related field.
• 35 years of relevant compliance experience within the financial services industry, preferably in an FSP environment.
• Practical experience in compliance risk management, regulatory monitoring and regulatory reporting.
• FSCA Phase 1 approval as a Compliance Officer, where appointment as the FSP's approved Compliance Officer is required.
• Applicable regulatory examinations and competency requirements relevant to the role and FSP licence.
• Class of Business training applicable to the relevant product categories, where required.
• A sound understanding of regulatory compliance, governance and risk management within financial services.

If you have the relevant financial services compliance experience and are confident in translating regulatory requirements into practical business controls, we encourage you to apply.

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