Head of Compliance and Operations

Job Description : HEAD OF COMPLIANCE AND OPERATIONS SOUTH AFRICA Open to International candidates As Head of Compliance Operations, you will be instrumental in establishing a new Compliance Operations team. Your role will involve taking ownership of key policies related to information management, conducting reviews, onboarding trading counterparts, developing new business strategies, supporting compliance teams, onboarding senior advisors, and providing training to employees. Play a key role in appropriate management and control of material non-public information (MNPI) Manage Expert Networks by maintaining a list of approved firms, reviewing call requests, and address any issues Monitoring Code of Ethics and other conflicts of interest policies In due course you will take over the regulatory reporting and anti-money laundering functions in Cape Town Create and enforce information barriers, ethical guidelines, allocate funds and resources across platforms Perform relevant reviews of wall crossing requests and ensure that appropriate records are maintained Undertake onboarding of trading counterparties and trading platforms Evaluating employee conflicts of interest in line with policies and procedures Identify and report non-compliance regarding policies on ethics, personal account trading, market conduct, information barriers Support regional and platform Compliance teams with CMP (Compliance Monitoring Programme) testing Updating and managing Governance, Risk and Control system (GRC) Support other reporting including Quarterly flash reports, Monthly flash reports, MLRO reports, Risk Assessment Report, SMCR Report, etc. The ideal candidate for this Head of Compliance and Operations role will bring proven professional experience within financial institutions. You should have prior experience leading compliance monitoring or surveillance teams. BCom Finance / LLB or relevant degree Hold a South African or international accountancy, compliance, risk and financial analysis professional qualification/certificate 8-10 years’ experience in a financial control room, compliance monitoring, surveillance monitoring team in a financial institution Experience in an Investment Bank, Securities Bank, Brokerage, Wholesale Bank or Alternative Asset Manager Prior leadership roles in a similar Head of Operations or Head of Control Room Experience in centralising and integrating various Compliance systems Strong digital skills in particular data skills to extract, consolidate and analyse data from disparate systems Collaborative and inclusive approach to working with colleagues

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