Compliance Officer

Job Description

My client, a well established Investment Manager, is looking for a Compliance Officer to join their team based in Cape Town.  The ideal candidate will be an experienced Compliance officer, with current working experience of FAIS and FICA reviews and risk reporting within the investment and retirement planning sector.  


  • Report on compliance on behalf of the business, internal and external statutory requirements
  • Evaluate planned legislative changes, advise on changes required risk control and operational procedures
  • Manage process and procedure documents and planned training 
  • Review and advise on system changes required 
  • Manage FSP license changes
  • Evaluate client advisory and investment implementation records 
  • Evaluate and approve client onboarding 


  • Minimum of completed BCom Accounting, BCom Honours in Risk Management 
  • Strong MS Excel skills 
  • Must be a good team player, able to work well with limited supervision
  • Client service focussed
  • Excellent planning and time management skills
  • High attention to detail and accuracy

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