Compliance Officer
My client, a boutique Wealth Management firm, is looking for a Compliance Officer to join their team. This role is responsible for the compliance support and implementation of risk and compliance policies and procedures for the company.
Responsibilities:
- Compliance reporting on behalf of business unit; internal and external (statutory) requirements
- Review of planned legislative changes, and make recommendations
- Monitoring of existing legislative changes
- Assist with documentation of processes and procedures, and planned training
- Review of system, and recommendations of system changes required
- FSP license changes as needed
- Compliance monitoring; review of client advisory and investment implementation records (FAIS and FICA)
- Review and approval of client onboarding
- Technical queries; assist advisory, fiduciary and consulting operations with technical queries
Requirements:
- Relevant tertiary qualification a necessity: BCom (Accounting) or BCom Honours in Risk Management
- Completed Accounting or Auditing Articles
- Previous experience in similar function preferred, with proven track record
- Accurate and deadline oriented
Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.
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