DNI Management (Pty) Ltd

Role Profile

Position: Compliance Officer

Department: Group Risk & Compliance

Location: Head Office

The Compliance Officer is responsible for ensuring compliance with relevant legislation, regulations, and

professional standards. The purpose of the role is to identify and mitigate strategic, operational, financial, and

compliance risks that could impact organisational performance or reputation, while fostering a culture of

accountability, integrity, and continuous improvement.

Key Responsibilities:

1. Risk Management

• Implement the DNI Group’s Risk Management framework

• Identify, assess, and prioritise key risks across the Group functions.

• Maintain and update the organisational Risk Register and coordinate periodic risk reviews.

• Support risk-informed decision-making at executive levels.

• Develop and oversee risk treatment plans to strengthen controls across Group operations.

• Provide independent assurance that governance, risk, and control processes are effective.

• Evaluate controls within project execution, procurement, inventory, production, and logistics.

• Recommend opportunities for efficiency and process improvement.

2. Compliance & Reporting

• Monitor regulatory developments impacting renewable energy, manufacturing, and logistics

operations.

• Ensure continuous compliance with governance, financial, and industry regulations.

• Support implementation and oversight of quality assurance initiatives.

• Promote integration of compliance, risk, and operational assurance frameworks.

• Communicate complex risk issues clearly and provide practical, actionable recommendations.

• Collaborate with finance, compliance, and operational teams to ensure cohesive risk and control

processes.

Skills & Competencies

• High ethical standards and independence of thought.

• Strong analytical and communication skills.

• Ability to influence senior stakeholders and manage sensitive risk issues.

• Delivery of the approved audit and risk plan within timelines.

• Timely closure of audit findings and risk mitigation actions.

• Compliance with statutory, governance, and industry standards.

• Quality and timeliness of reporting to the oversight committee and Board.

• Strong collaboration with operational teams.

Qualifications & Experience

• Postgraduate degree in Risk Management, Corporate Governance or related discipline.

• Professional certification such as CIA, , CISA, CRMA or equivalent preferred.

• 2-3 years of experience in risk management, or governance.

Disclaimer: The above information on this role profile has been designed to indicate the general nature and level of work performed by employees within the specified role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned in this job.

Lumepay Pty Ltd

Workshop 17 The Watershed 17 Dock Road

Waterfront, Cape Town

Compliance Officer (AML) Location: Cape Town Department: Legal & Compliance Reports To: CLCO Job Type: Full-time Level: Intermediate

About Us We are a high-growth fintech company building the next generation of payment infrastructure across Africa. Our mission is to make money movement seamless, inclusive, and scalable across borders. We operate at the intersection of financial innovation and real-world impact, empowering businesses and consumers with tools to thrive in a rapidly digitising economy.

Role Overview

The Compliance Officer will assist in implementing and maintaining the company’s compliance framework across all business lines, including financial services, crypto asset trading, and

payments. The role involves conducting due diligence, transaction monitoring, and investigations

while supporting broader regulatory, reporting, and policy initiatives. This is an intermediate-level

position offering exposure to multiple regulated environments.

Key Responsibilities

1. Compliance Operations

● Support the company’s compliance framework, ensuring adherence to regulatory requirements and industry standards across all business areas.

● Assist in implementing, maintaining, and updating compliance policies and procedures to align with evolving regulatory obligations.

● Maintain accurate and up-to-date compliance records and documentation.

2. KYC & Due Diligence

● Conduct Know-Your-Customer (KYC) checks on new clients and perform ongoing due diligence reviews on existing clients and counterparties.

● Review and verify KYC documentation during the onboarding process to ensure all required checks are completed prior to account activation.

● Support enhanced due diligence processes for high-risk clients or complex structures.

3. Screening & Monitoring

● Review and resolve customer screening alerts, including politically exposed persons (PEPs), sanctions, and adverse media matches.

● Monitor and analyse transactions for potential suspicious or unusual activity.

● Conduct investigations and assist in preparing and submitting Suspicious Transaction Reports (STRs) or Suspicious Activity Reports (SARs).

4. Investigations & Reporting

● Assist in investigating flagged accounts and responding to requests or inquiries from banks,

counterparties, and regulatory authorities.

● Collaborate with fraud operations, banking, and payment partners to mitigate financial crime

risks.

● Contribute to the preparation of internal and external compliance reports.

5. Regulatory Awareness & Collaboration

● Stay current with changes in AML, KYC, and financial services and payments regulations across relevant jurisdictions.

● Work closely with senior compliance and legal functions to ensure company-wide understanding and application of compliance obligations.

● Support the maintenance of relationships with payment, banking, and regulatory partners.

Skills & Experience

● Bachelor’s degree or tertiary qualification in Law.

● At least 3 years PQE exposed to compliance in financial services, banking and payments environments.

● Experience or exposure to cryptocurrency and digital asset regulation.

● Strong analytical, investigative, and problem-solving skills.

● Excellent attention to detail and a high standard of accuracy.

● Strong organisational abilities and the ability to manage multiple priorities in a fast-paced

environment.

● Excellent written and verbal communication skills.

● Ability to work both independently and collaboratively within a team.