Compliance Officer at Norrenberger Financial Group

Job Description

• The compliance officer will be responsible for reviewing all relevant statutory laws and regulations applicable to the Company and ensuring compliance with these.
• In addition, he/she will undertake continual compliance risk assessment of company practices together with the development of internal policies and procedures, and serve as liaison for all regulatory bodies.

Responsibilities

• Develop and Review Compliance Manual to meet regulators rules and standards.
• Conduct of Customer Due Diligence on KYC of Corporate, Estate and Individual Accounts
• Submission of Statutory Returns to regulatory bodies
• Daily Clients’ Trades Reconciliation and validation of Monthly Bank Reconciliation
• Stocktaking, inventory control and valuation.
• Keep the business abreast of any regulatory developments and industry best practices and assess the impact on current procedures, as well as ensure that necessary changes are implemented
• Develop and implement an Annual Compliance plan.
• Liaise with Industry Regulators and other agencies and respond to regulatory enquires, findings and deficiencies.
• Carry out Compliance reviews and Compliance monitoring activities.
• Monitor the resolution of Clients’ complaints.
• Aid respective units for purpose of compliance with applicable statutory, regulatory and supervisory requirements.
• Participate in Business Process Re-engineering exercises to ensure controls therein
• Ensure no fine/censure from Regulatory authorities.

Qualifications

• Minimum of 5 years relevant experience in the Capital Market.
• B.Sc in Accounting/Business Administration or any other discipline.
• Professional Qualifications ICAN, ACCA, CIS
• Candidates must possess at least 5 years' hands-on experience as Compliance Officers in the investment industry (preferably stockbroking).