Our client is seeking a Category I Compliance Officer to join their team in Midrand. Reporting to the Head of Compliance Distribution, this role involves implementing relevant legislative regulations and ensuring quality assurance and compliance within the client's offices, which include long-term and short-term assurance, collective investments, and stockbroking.
Key Responsibilities:
- Develop and maintain a robust compliance framework in partnership with relevant stakeholders.
- Identify and investigate potential compliance breaches and areas of concern.
- Review, register, and resolve client complaints.
- Keep the key individual/representative register updated.
- Ensure all compliance records are current and accurate.
- Address and resolve Fit and Proper queries.
- Update and maintain compliance procedures and manuals.
- Conduct compliance audits at Adviser offices and report the findings.
Qualifications and Experience:
- Relevant qualification such as BCom Law or LLB.
- Registered FSCA Compliance Officer (CAT I).
- RE 1 Certificate.
- 1 3 years of compliance experience in the financial services industry.
- Thorough understanding of FICA, FAIS, and relevant legislation, regulations, and rules.
- Experience in corporate compliance and working with Financial Advisers/Planners.
- Proficiency in MS Office.
Skills and Competencies:
- Strong interpersonal, communication, and report writing skills.
- Ability to work independently as well as part of a team.
- Capable of performing in a high-performance environment at various levels.
- Excellent client relationship-building skills.
