Compliance Officer position.
Reporting to the Head:
Compliance Distribution, 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).
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
Minimum requirements:
Relevant qualification such as BCom Law or LLB
Must be a registered and FSCA Compliance Officer (CAT 1)
RE 1 Certificate
1 3 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
Competencies required:
Interpersonal, communication and report writing skills
Ability to work independently and as part of team
Ability to operate in a high-performance environment at different levels
Client relationship building skills.