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Head Of Compliance & Risk

Closing: Sep 15, 2022

This position has expired

Published: Sep 6, 2022 (25 days ago)

Job Requirements

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Job Summary

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Minimum Qualifications and Experience

  • A Bachelor's degree in Finance, Economics, Commerce, Law or other relevant business study from a recognized university and a CFA, CFE, FRM, CISI or an equivalent certification.
  • At least 5 years' experience in financial services industry in a compliance function or equivalent experience.
  • Deep knowledge of the investment and capital market industry, preferably gained with an institutional investor, pension fund, financial institution, or capital market regulatory body.
  • Understanding of trading methodologies and strategies, as well as professional practice monitoring institutional and retail trading activities.
  • Exposure to international business risks and regulations, and practical experience in risk management.
  • Time management skills to meet a complex set of business demands and reporting requirements.
  • Team player consistently demonstrating a high level of professionalism, and integrity with an exemplary personal and business ethical code.
  • Possesses exceptional organizational skills and strong attention to detail.
  • Strong communication skills and fearless and tactful in handling crucial conversations.

Skills or Qualifications that Provide Added Advantage

  • MBA, Law ,accounting degree or CFA certification.
  • 3 years' management experience in Compliance and/or Risk Management at a Fund Management Firm
  • A high-level appreciation of fiduciary duty, internal controls and potential conflicts of interests.
Method of Application

Interested and suitably qualified candidates should forward their applications in PDF format via email clearly quoting the job title in the subject area. The application should include a cover letter, detailed curriculum vitae indicating telephone contacts, mail address, names and contacts of three (3) referees and current remuneration to email address, to reach us by 15th September 2022.

Only shortlisted candidates will be contacted.


Responsibilities

Minimum Qualifications and Experience

  • A Bachelor's degree in Finance, Economics, Commerce, Law or other relevant business study from a recognized university and a CFA, CFE, FRM, CISI or an equivalent certification.
  • At least 5 years' experience in financial services industry in a compliance function or equivalent experience.
  • Deep knowledge of the investment and capital market industry, preferably gained with an institutional investor, pension fund, financial institution, or capital market regulatory body.
  • Understanding of trading methodologies and strategies, as well as professional practice monitoring institutional and retail trading activities.
  • Exposure to international business risks and regulations, and practical experience in risk management.
  • Time management skills to meet a complex set of business demands and reporting requirements.
  • Team player consistently demonstrating a high level of professionalism, and integrity with an exemplary personal and business ethical code.
  • Possesses exceptional organizational skills and strong attention to detail.
  • Strong communication skills and fearless and tactful in handling crucial conversations.

Skills or Qualifications that Provide Added Advantage

  • MBA, Law ,accounting degree or CFA certification.
  • 3 years' management experience in Compliance and/or Risk Management at a Fund Management Firm
  • A high-level appreciation of fiduciary duty, internal controls and potential conflicts of interests.
Method of Application

Interested and suitably qualified candidates should forward their applications in PDF format via email clearly quoting the job title in the subject area. The application should include a cover letter, detailed curriculum vitae indicating telephone contacts, mail address, names and contacts of three (3) referees and current remuneration to email address, to reach us by 15th September 2022.

Only shortlisted candidates will be contacted.


  • Develop and deliver an overall strategic vision for the compliance function which effectively manages and mitigates risk, establishes proper controls, supports business initiatives and protects the company from legal and regulatory risk.
  • Provide organizational leadership and direction in the management of effective compliance programs at SIEAL.
  • Ensure compliance with multiple regulatory bodies' laws, regulations, reporting guidelines and policies.
  • Build trust and maintain strong relationships with all business lines and proactively maintain, enhance and develop relevant compliance related policies and procedures around the four main compliance areas: Core Compliance, Regulatory Compliance, Investment & Trading Compliance and Sales & Marketing Compliance.
  • Proactively collaborate with other departments as needed to ensure compliance issues are addressed, investigated, and resolved.
  • Provide regular reporting on progress and overall status of compliance to senior management and SIEAL’s Board of Directors.
  • Identify and ensure delivery of relevant training for employees.
  • Ensure regulatory filings are adequately completed and submitted within required deadlines.


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