Junior Compliance Officer

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Junior Compliance Officer

Areas of responsibility

1. Assists the compliance manager to identify, assess, advise on, monitor, report, and provide training on the compliance risk of the firm.
2. Assists the compliance manager to monitor processes, practices, and documents to identify gaps.
3. Assists the compliance manager to evaluate business activities to assess compliance risk.
4. Assists the compliance manager to identify, investigate, and resolve all activities that are deemed non-compliant.
5. Assists the compliance manager to train employees.
6. Keeps abreast of local and international standards and regulatory advancements.
7. Assists the compliance manager in the following areas:
   • Privacy and data protection (POPIA and GDPR).
   • FICA
   • B-BBEE
   • Anti-corruption
   • Client Compliance Fulfilment

Role

1. Assist in completion and drafting of Compliance Risk Management Plans.
2. Perform compliance monitoring.
3. For Privacy and data protection specifically:

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

1. For FICA specifically

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

1. 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.

1. 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