Compliance Officer AML

Designation: PP4429 - Compliance Officer AMLCategory: Invest Finance, Actuarial & CompliancePosted by: Alexander ForbesPosted on: 24 Jul 2025Closing date: 01 Aug 2025Location: JohannesburgPurpose Of The JobThe purpose of the role is to assist the Head of Financial Crime Control with the coordination, facilitation and management of the AML/CFT Risk program within Alexforbes SA group of companies. OverviewThe role is part of the First Line Compliance team for the business, within the Investment pillar and supporting the Alexforbes SA group of companies. This role reports to the Head of FCC in Consulting.

The Following Key Outputs Form Part Of This RoleStakeholder engagement & relationship management Assist with financial crimes risk assessments e. g. RBA assessmentsAttending to queries from various business units relating to financial crime complianceDevelop and maintain a governance calendar & work plan relating to AML/CFT/PF & Sanctions reports that need to be submitted.

Assist and participate in project management for various FCC projectsMonitor reports from outsourced functions to ensure regulatory compliance Drive awareness on AML/CFT/PF & Sanctions risk across all pillarsAttending to all queries received from the FCC COE team relating to AMLEscalate financial crimes related compliance and operational risks and issues to the Head of AML/CFT/PF & SanctionsKeeping a register and reminders of when annual reviews are due for governance documents. (work plan).

Assist with developing customised training for AML/CFT/PF & Sanctions and roll-it out to the businessAssist in ensuring that Alexforbes remain compliant with its AML/CFT/PF & Sanctions regulatory obligationsKeep abreast with regulatory changes and any new legislationAssist in compiling FICA documents for external parties (FICA) processPerform compliance monitoring reviews relating to financial crime compliance – from planning to reporting Conduct sample reviews of customer files from outsourced functions to test complianceLaise and manage the risk register and issues raised to ensure completion and drive closure of those issues.

Ensure the FCC checklist is aligned with the AML/CFT/PF & Sanctions Framework requirements. Laise with Group Compliance & Centre of Excellence (COE) on completion and updating of the FCC checklist. Develop a process of how & when Standard Operating Procedures (SOP) needs to be reviewed and which governance forum need to approve or note these. Review business SOPs inclusive of supporting function SOP e. g. COE & Biztech on a cyclic basis. Prepare, collate and submit regulatory reports e. g. Directive 4, Directive 6 etc.

Assist in compliance audits and inspections by regulators Alert investigations and escalating any alerts to the MLRO that need to be filled with the FIC Key Performance Indicators GeneralStakeholder engagement & relationship management Assist with financial crimes risk assessments e. g. RBA assessmentsAttending to queries from various business units relating to financial crime complianceDevelop and maintain a governance calendar & work plan relating to AML/CFT/PF & Sanctions reports that need to be submitted.

Assist and participate in project management for various FCC projectsMonitor reports from outsourced functions to ensure regulatory compliance Drive awareness on AML/CFT/PF & Sanctions risk across all pillarsAttending to all queries received from the FCC COE team relating to AML/CFT/PF & SanctionsEscalate financial crimes related compliance and operational risks and issues to the Head of AML/CFT/PF & SanctionsKeeping a register and reminders of when annual reviews are due for governance documents. (work plan).

Assist with developing customised training for AML/CFT/PF & Sanctions and roll-it out to businessAssist in ensuring that Alexforbes remain compliant with its AML/CFT/PF & Sanctions regulatory obligationsKeep abreast of regulatory changes and any new legislationAssist in compiling FICA documents for external parties (FICA) processCompliance Monitoring in relation to FCCPerform compliance monitoring reviews relating to financial crime compliance – from planning to reporting Conduct sample reviews of customer files from outsourced functions to test complianceLiaise and manage the risk register and issues raised to ensure completion and drive closure of those issues.

Business support for FCCEnsure the FCC checklist is aligned with the AML/CFT/PF & Sanctions Framework requirements. Liaise with Group Compliance & Centre of Excellence (COE) on completion and updating of the FCC checklist. Develop a process of how & when Standard Operating Procedures (SOP) needs to be reviewed and which governance forum needs to approve or note these. Review business SOPs inclusive of supporting function SOP e. g. COE & Biztech on a cyclic basis. Ensure the FCC checklist is aligned with the AML/CFT/PF & Sanctions Framework requirements.

Laise with Group Compliance & Centre of Excellence (COE) on completion and updating of the FCC checklist. Develop a process of how & when Standard Operating Procedures (SOP) needs to be reviewed and which governance forum needs to approve or note these. Statutory and Regulator interactions in relation to FCCPrepare, collate and submit regulatory reports e. g. Directive 4, Directive 6 etc. Assist in compliance audits and inspections by regulatorsAlert investigations and escalating any alerts to the MLRO that need to be filled with the FICAAdhoc projects To assist business units within Alexforbes SA to embed FCC related matters.

This may includeMaintaining policies supporting the business processes relating to AML. Project managing embedment of processes within the business RequirementsDegree: LLB/BCom, Internal Audit, Risk Management, Post-graduate diploma in Compliance management 3-5 years of compliance experience within a regulated financial services environmentMinimum 3 years of experience in an FCC and FIC environment