EXL South Africa Legal Jobs in Western Cape
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About the job
- Ensure compliance with FCA regulations, policies, and procedures within the organization. Provide first-line compliance support to business units, identifying and mitigating regulatory risks
Description:
- Ensure compliance with FCA regulations, policies, and procedures within the organization. Provide first-line compliance support to business units, identifying and mitigating regulatory risks
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Responsibilities:
- Compliance Advisory: Provide guidance on FCA regulations, policies, and procedures.
- Risk Identification: Identify, assess, and mitigate regulatory risks.
- Policy Implementation: Develop, implement, and maintain compliance policies.
- Monitoring and Surveillance: Conduct regular monitoring and surveillance.
- Training and Awareness: Deliver compliance training to business units.
- Regulatory Updates: Stay up-to-date with FCA regulatory changes.
- Audit and Compliance Reviews: Participate in internal audits and compliance reviews.
- Issue Resolution: Investigate and resolve compliance issues.
Key Performance Indicators (KPIs):
- Compliance breach reduction.
- Regulatory exam results.
- Training participation and feedback.
- Policy update and implementation timelines.
- Risk assessment and mitigation effectiveness.
Qualifications and Skills
Required Skills:
- Strong knowledge of FCA regulations and guidelines
- Compliance experience in financial services
- Analytical and problem-solving skills
- Effective communication and stakeholder management
- Risk management expertise
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Education and Certifications:
- Bachelor's degree in law, Finance, or related field preferred
- Compliance certification (e.g., CCEP, CCO, FCA)