Our client are seeking a dedicated Compliance Officer to join their risk and compliance team in Rondebosch. This role will support and implement risk and compliance policies and procedures for their advisory, fiduciary, and consulting operations. The position involves accurate risk and compliance reporting, including ad-hoc review and analysis work for the Risk and Compliance Committee. This role is ideal for recent graduates with a degree in Accounting or Risk Management, or individuals with experience in accounting or auditing articles.
Key Responsibilities:
FSP Compliance / Risk Officer:
- Conduct compliance reporting for business units to meet internal and external (statutory) requirements.
- Review upcoming legislative changes and recommend necessary adjustments to risk control and operational procedures. Monitor existing legislative changes.
- Assist in documenting processes and procedures, and plan related training sessions.
- Evaluate system performance and recommend required changes.
- Handle FSP license changes as needed.
Compliance Monitoring:
- Review client advisory and investment implementation records (FAIS and FICA).
- Oversee and approve client onboarding processes.
Technical Support:
- Assist advisory, fiduciary, and consulting operations with technical queries.
- Provide support and recommendations for the development of Supervision candidates skills and knowledge.
Additional Responsibilities:
- Provide back-up support for colleagues as required.
Key Requirements:
- Relevant tertiary qualification: B Com (Accounting) or B Com Honours in Risk Management.
- Completed accounting or auditing articles.
- Proficiency in computer literacy, particularly advanced MS Excel.
- Previous experience in a similar role is preferred, with a proven track record.
- Must meet fit and proper requirements.
- Must be accurate and deadline-oriented.
- If you are a detail-oriented individual with the required qualifications and experience, we encourage you to apply for this exciting opportunity.
