Compliance Officer (Financial Services)
Reference: PE000172-HP -2
Our Client, a national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs), develops and delivers unique compliance, risk management, practice management, and business intelligence services.
Two vacancies exist within the current structure, which requires an experienced Compliance Officer to be based in the Port Elizabeth and East London offices , respectively.
ROLES AND RESPONSIBILITIES:
Reporting to the Regional Manager, performance areas include, but are not limited to:
- To effectively deliver quality compliance and risk management service to our clients at a regional level.
- Adherence to the compliance requirements as dictated by the FSCA.
- To grow the Company's Eastern Cape client base by marketing all the company's services to non-company clients.
- To market all services to the existing company client base.
- To assist the company regionally with Virtual Compliance, Risk Management, Implementation, and other Sales Projects.
- Outsourced compliance function delivered to financial services clients and other FICA-accountable institutions.
- Fulfil compliance function required in terms of FAIS, FICA, and other applicable legislation and business requirements.
- Establish a culture of compliance and provide a compliance risk framework to clients.
- Assist clients to achieve the TCF outcomes.
- Perform all functions to the standard and deadlines set by the Regional Manager.
- Provide clients with high quality, personalised, and substantive reports.
- Include clients in compliance processes and provide post-monitoring feedback.
- Maintain records as required by the business.
- Display behaviour and attitudes which positively contribute to the well-being and development of the regional team, the company, and its clients.
- Sourcing and signing up of new clients.
QUALIFICATIONS AND EXPERIENCE:
- Matric essential.
- Tertiary Diploma (minimum of NQF level 5) or Degree in Legal/Accounting/Financial is essential.
- A FSCA (FSB) recognised qualification is advantageous.
- Registered Category I (Category II if possible) Compliance registered Officer with the FSCA.
- Minimum 5 years’ experience in compliance or risk management within the financial services industry.
- A good working knowledge of compliance legislation viz FICA and FAIS.
- Understanding and knowledge of risk management principles.
- Computer literate (MS Office Suite).
- Open to SA citizens with a clear criminal and credit history.
- Valid unendorsed Driver’s License, with own vehicle (preferred).
IMPORTANT ATTRIBUTES:
- Must possess an ownership mentality and a willingness to take responsibility for tasks through to completion.
- Attention to detail, goal-oriented, and a desire to achieve your objectives.
- Highly organised, good at multi-tasking, and able to deal with people at all levels.
- Exceptional verbal and written communication skills.
- Ability to work under pressure, independently, and as part of a team.
- Proficient presentation skills.
Location:
Port Elizabeth or East London
Profile:
Financial Services Industry
Career Level:
3-5+ years
Employment:
Permanent, full-time
E.E. / Non-EE:
Open
Working Hours:
Monday to Friday, 08H00 - 16H30
Remuneration:
Market-related basic (Pension Included) + Commission and Annual Performance Bonus.
Shortlisted candidates may be expected to complete and pass assessments before moving to the next stage of the recruitment process.
Should you not be contacted within two weeks, please consider your application unsuccessful.
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