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Specialist : Compliance (Pension funds)

Vacancy Details

Reference No.



A leading financial services provider is currently seeking an individual to assume the role of Specialist: Compliance (Pension funds). The successful incumbent will be responsible for identifying, accessing, and managing compliance risk. Additionally the incumbent will be responsible for regulatory compliance monitoring and all related activities.


  • Have a detailed understanding of legislative frameworks which directly impact the financial services industry.
  • Have detailed knowledge of best practise compliance methodologies.
  • Maintain relationships with stakeholders and the relevant regulators.
  • Must have excellent organisational and monitoring skills with a strong focus on managing deadlines.
  • Design and implement standards, policies and procedures for compliance risk management that are in line with global best practice.
  • Support, guide and educate the business compliance related matters.
  • Implement and maintain the Cherwell Compliance and Surveys tool for compliance risk management in the fulfilment of its monitoring obligations, record keeping and subsequent reporting to various stakeholders.
  • Assist the business in resolving (remedial action) compliance breaches to legislative requirements reported at various levels.
  • Ensure that all statutory reporting requirements are met on a timely basis as required in terms of the applicable legislation and/or approvals obtained.
  • Identify all amendments to legislation and draft new legislation that impacts or could impact the compliance universe.
  • Review and update the monitoring plan to include new high-risk exposure areas to enable compliance to provide assurance on the implementation of new policies and procedures regarding new/amended legislation.
  • Conduct clarification/interpretation of new/amended legislation if required.
  • Make appropriate and timely decisions.
  • Resolve conflict within own team as well as with all external stakeholders.
  • Solve complex business problems.
  • Analyse information and select best solutions from a range of alternative solutions.


  • LLB / or other relevant postgraduate qualification in compliance and risk management.
  • FAIS approval for Category I, II and III.
  • 3-5 years related experience, 2 of which must be at a similar level of operation.
  • Must have a comprehensive understanding of the financial services and insurance industry.
  • Must have knowledge and understanding of FSCA and Prudential Authority Legislative Requirements.
  • Must have experience in conducting compliance audits.
  • Must have experience working in the three lines of defence model.
  • Compliance experience in an Investment environment (Advantageous).
  • Must have good knowledge of country legislature and the difference in the new twin peaks model.

Kindly note that if you do not hear back from us within two weeks, kindly consider your application unsuccessful.

Position Type


Work Level



Market Related


Banking/Finance And Investment

Salary Type



Cost To Company

Affirmative Action


Geographic Location

Gauteng - JHB North