FINANCIAL SECTOR CONDUCT AUTHORITY (FSCA)
SPECIALIST - LICENSING INSURERS & INVESTMENT PROVIDERS DEPARTMENT (PRETORIA) Reference Number: FSCA1045 Description Purpose of the Job: To provide specialist technical support in respect of various financial sector licence applications which shall include but not limited to crypto asset providers, over-the-counter derivative providers (“ODPs”), online derivatives and forex trading platforms licence applications. To assist with developing and reviewing licensing processes, procedures, and frameworks. The person appointed to this position will report to the Departmental Head. Key Performance Areas: • Ensures consistency in the application of the legislation in the licensing and variation of licence processes. • Identify gaps in the regulatory framework and initiates changes to be made to the framework and policy. • Provide specialist technical support on all complex licence applications. • Ensure that all determination of fit and proper requirements are fully evaluated. • Assist the department in executing licensing functions within defined SLCs. • Identify emerging trends during the review process that can introduce potential risk into the financial system. • Assist with ensuring that the review process fully incorporate quality assessment. • Provide inputs on draft documents circulated for consultation, where required. • Where required, attend monthly, bi-annual and annual financial sector meetings and provide an update to management. • Liaise with internal and external stakeholders. • Assist the Departmental Head with developing and compiling reports on a monthly and quarterly basis. Other Key Competencies: The candidate must demonstrate the following skills and attributes: Excellent analytical skills and the ability to solution independently, attention to detail, leadership skills, active listening, critical thinking, strong financial and numeracy skills, good communication skills (verbal and written), progressive thinking, professionalism when approaching matters and dealing with stakeholders, good understanding of complex financial instruments and business models, including derivatives, and general risk management principles.. The FSCA is committed to increasing the representation of marginalised groups in line with its transformation strategy. Persons with disabilities are encouraged to apply. Please note that correspondence and communication will only be conducted with short listed candidates and that the FSCA reserves the right not to appoint if a suitable candidate is not identified. Closing Date: 25 July 2023 Requirements BCOM/LLB and a minimum of 5 to 7 years relevant experience in the financial services industry, regulatory environment, risk and/or compliance management functions/roles. Must have a good understanding of the following sectors - banking, insurance, investment management (including collective investment schemes), capital markets, and retirement fund administration. Good technical understanding of the workings of the aforementioned sectors and the interplay between them is key. Knowledge and understanding of the working of crypto assets/currencies is an advantage. Ability to work with conceptual aspects, breaking them down to a practical level to enable self-application and resolution of problems where resolution is required. Work Level: Senior Job Type: Permanent Salary: Market Related EE Position: Yes Location: Pretoria PLEASE APPLY HERE
MANAGER - ICT GOVERNANCE, RISK AND COMPLIANCE DEPARTMENT (PRETORIA) Reference Number: FSCA 205 Description Purpose of the Job: To provide leadership, plan, and manage a large Information and Communication Technology (ICT) Division with regards to ICT Governance, ICT risks and Compliance risks using best industry practices and standards, identify non-conformance and ensure remediation, mitigation and/or positive acceptance of risk. Ensure compliance of all ICT services with the Risk framework. Design, implementation and maintenance of the entity’s Disaster Recovery plans and Business Continuity provision. Work in collaboration with the Chief Risk Office to ensure management and compliance of ICT risks across the organisation. This role will report to the Departmental Head of the ICT Governance, Risk and Compliance. Key Performance Areas: ICT Risk Management and Compliance • Lead and monitor the internal control self-assessments / audits in order to ensure compliance at all times with approved policies and procedures. • Identify, evaluate, and assess both strategic and operational risks related to ICT. • Monitor and manage the action plans on the risk registers. • Perform periodic risk assessments in relation to ICT processes. • Ensure governance programs are in compliance with relevant laws, regulations and policies to minimize or eliminate risk and audit findings. • Ensure that ICT staff understand their role in risk management and compliance and track and monitor ICT compliance initiatives. ICT Governance • Develop and implement the ICT governance, risk and compliance strategy and roadmap in line with enterprise strategic objectives, corporate governance, business continuity management and ICT disaster recovery. • Develop and implement the ICT governance framework and ensure business and ICT strategic alignment by effective management of business demand and IT supply. • Develop and implement internal policies, standards, procedures and business plans. • Provide ICT governance related advice and support to FSCA. • Plan and coordinate ICT governance, risk and compliance related training and awareness. • Participate in any project-related work to address technologies compliance. Relationship Management • Liaise with internal stakeholders to align technology solutions with business strategies. • Communicate governance objectives and create enterprise-wide awareness. • Develop relationships with business units to support enterprise-wide risk management objectives, influence key stakeholders and jointly develop effective risk management initiatives. People Management • Manage a team of project managers, project administrators and testing specialists for results towards organisational programme and project delivery. • Drive organisational results by managing virtual teams, i.e., internal executives and executives from regulated entities. • Ensure existence of Personal Development Plans (PDP) for self and team members and that development and training is attended in line with PDPs. • Conduct bi-annual performance appraisals and draw up training needs for the department. • Align and motivate staff. Recruit, appoint and retain competent staff. • Ensure that staff adheres to FSCA policies. Other Key Competencies: The candidate must demonstrate the following skills and attributes: Can work effectively under pressure with multiple stakeholders and in a professional manner. Have forward- looking and strategic minder, with an in-depth ability to understanding potential risks, legal and compliance implications. Possess good knowledge of risk areas including regulatory, operational, information technology risk and industry specific legalities. Must have great attention to detail, think analytically, be an active listener with critical thinking skills. Must have an excellent communication skill (verbal and written) and apply innovative and strategic thinking. FSCA is committed towards increasing the representation of marginalised groups in line with its Employment Equity Plan. Persons with disabilities are encouraged to apply. Please note that correspondence and communication will only be conducted with short listed candidates and that the FSCA reserves the right not to appoint if a suitable candidate is not identified Closing Date: 21 July 2023 Requirements A bachelor’s degree in computer science or information Technology (IT) or Risk Management. A post graduate qualification, knowledge and understanding of the financial services industry and / or financial services regulation will be an added advantage. A minimum 8 years’ experience working in the Governance, Risk and Compliance environment; of which 5 years must be at a management level. Solid competency and track record in governance, risk management and compliance. Work Level: Management Job Type: Permanent Salary: Market Related EE Position: Yes Location: Pretoria PLEASE APPLY HERE
JUNIOR ANALYST - SUPERVISION INVESTMENT PROVIDERS ALTERNATIVE INVESTMENT (PRETORIA) Reference Number: FSCA687 Description Purpose of the Job: To assist in the management and supervision of the activities of the Alternative Investment industry and to monitor Alternative Investment compliance with the provisions of the applicable Alternative Investment legislation within the framework of the objectives of the department. The person appointed to this position will report to the Manager. Key Performance Areas: • Identify and propose changes to regulatory framework and assist the department with implementation of such changes; • Assist to develop and maintain an effective and efficient framework for supervision of the Alternative Investment industry within the context of the approved legislation; • Assist with investigations of all complaints relating to unregistered Alternative Investment business; • Assist with oversight and monitoring of compliance to approved legislation by Alternative Investment managers; • Ensure that all complaints regarding Alternative Investment are dealt with in terms of the applicable guidelines; • Compile reports for all relevant stakeholders; • Assist with projects identified by the manager; and • Perform administrative and other activities relating to the Investment Providers Department’s Alternative Investment functions. Other Key Competencies: The candidate must demonstrate the following skills and attributes: Problem analysis, judgement, information gathering, oral and written communication skills, good interpersonal skills and ability to work in a team. Good computer skills (MS Office) FSCA is committed towards increasing the representation of marginalised groups in line with its Employment Equity Plan. Persons with disabilities are encouraged to apply. Please note that correspondence and communication will only be conducted with short listed candidates and that the FSCA reserves the right not to appoint if a suitable candidate is not identified. Closing Date: 21 July 2023 Requirements A Bachelor’s degree in Commerce, Law, Business Science or related degree with at least 1-year experience in investment/corporate banking, corporate finance or the asset management industry. Some experience with the transactional aspects of the Alternative Investment industry, risk and/or audit within a treasury or banking environment will be an added advantage Work Level: Junior Job Type: Permanent Salary: Market Related EE Position: Yes Location: Pretoria PLEASE APPLY HERE SENIOR ANALYST - SUPERVISION: INVESTMENT PROVIDERS (PRETORIA) Reference Number: FSCA688 Description Purpose of the Job: To assist in the management and supervision of the activities of the Alternative Investment industry and to monitor Alternative Investment compliance with the provisions of the applicable Alternative Investment legislation within the framework of the objectives of the department. The person appointed to this position will report to the Manager. Key Performance Areas: • Identify and propose changes to regulatory framework and assist the department with implementation of such changes; • Assist to develop and maintain an effective and efficient framework for supervision of the Alternative Investment industry within the context of the approved legislation; • Assist with investigations of all complaints relating to unregistered Alternative Investment business; • Assist with oversight and monitoring of compliance to approved legislation by Alternative Investment managers; • Ensure that all complaints regarding Alternative Investment are dealt with in terms of the applicable guidelines; • Compile reports for all relevant stakeholders; and • Perform administrative and other activities relating to the supervision of the Alternative Investment industry. Other Key Competencies: The candidate must demonstrate the following skills and attributes: Problem solving, judgement, oral and written communication, decision making; good interpersonal skills; the ability to work in a team and resolve queries; good mentoring abilities, emotional intelligence, and good customer relations. Knowledge of workflow systems will be a strong recommendation. Good computer skills (MS Office). FSCA is committed towards increasing the representation of marginalised groups in line with its Employment Equity Plan. Persons with disabilities are encouraged to apply. Please note that correspondence and communication will only be conducted with short listed candidates and that the FSCA reserves the right not to appoint if a suitable candidate is not identified. Closing Date : 19 July 2023 Requirements A Bachelor’s degree in Commerce, Law or Business Science with 3 to 5 years’ experience in investment/corporate banking, corporate finance or the asset management industry. The candidate must also demonstrate an understanding of financial markets and financial instruments. Some experience with the transactional aspects of the Alternative Investment industry, risk and/or audit within a treasury or banking environment will be an added advantage Work Level: Skilled Job Type: Permanent Salary: Market Related EE Position: Yes Location: Pretoria PLEASE APPLY HERE
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