Compliance Officer

My client is currently recruiting for a Category II Compliance Officer position. Reporting to the Head: Compliance.  You will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser offices (long- and short-term assurance, collective investments and stockbroking).  You must be a CAT 2 FSCA Registered to apply!

Responsibilities:

  • Maintain a compliance framework in collaboration with the relevant stakeholders
  • Identify potential compliance breaches and investigate compliance irregularities or areas of concern
  • Review, register and resolve complaints received from clients
  • Maintain the key individual / representative register
  • Ensure compliance records are up to date
  • Review and resolve Fit and Proper queries
  • Maintain the compliance procedures and manuals
  • Conduct and report on compliance audits at Adviser offices

Requirements:

  • Relevant qualification such as B Com Law or equivalent
  • Must be a registered and FSCA Compliance Officer (CAT2)
  • RE1 and RE3
  • 3 – 5 years compliance experience in the financial services industry
  • Knowledge of FICA, FAIS and relevant legislation, regulations and rules
  • Relevant knowledge, skills and corporate compliance experience
  • Relevant experience working with Financial Advisers / Financial Planners
  • Computer literate in MS Office

Please note if you have not heard from us in 2 weeks from application, please consider yourself unsuccessful – please do continue to follow us online and apply for suitable roles