Compliance Officer - Investment Industry
This vacancy has been created within our client’s risk and compliance team, based at their Cape Town office. This role is responsible for compliance support and implementation of risk and compliance policies and procedures for the advisory, fiduciary and consulting operations. The role also includes the accurate compilation of risk and compliance reporting, including adhoc review and analysis work by the Risk and Compliance Committee. The role is ideally suited to a recent graduate with Accounting and/or Risk Management as part of their completed degree, or where previous working experience includes completed accounting or auditing articles.
Duties & Responsibilities
Key responsibilities include:
- Compliance reporting on behalf of business unit: internal and external (statutory) requirements
- Review of planned legislative changes, and make recommendations of changes required in risk control and operational procedures. Monitoring of existing legislative changes
- Assist with documentation of processes and procedures, and planned training of same
- Review of system, and recommendations of system changes required
- FSP license changes as needed
- Review of client advisory and investment implementation records (FAIS and FICA)
- Review and approval of client onboarding
- Assist advisory, fiduciary and consulting operations with technical queries
- Support and recommendations relating to Supervision candidate skills, knowledge and general development
- Back up support for colleagues, as required
Desired Experience & Qualification
Key requirements for applicants:
- Relevant tertiary qualification a necessity: B Com (Accounting) or B Com Honours in Risk Management
- Completed accounting or auditing articles
- Computer literacy a necessity: including MS Excel (advanced)
- Previous experience in similar function preferred, with proven track record
- Fit and proper requirements all in order, and clear
- Accurate and deadline oriented
Please note: only shortlisted candidates will be contacted.
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