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Compliance Officer Cat1
2 weeks ago
KEY INFORMATION
POSITION:
Compliance Officer (CAT I)
REPORTING TO:
Area Manager
LOCATION:
Based in Pretoria or Polokwane
BUSINESS UNIT:
Compliance
START DATE:
1 March 2023
***To effectively deliver a quality compliance and risk management service to our clients at a regional level.
Adherence to the compliance requirements as dictated by the FSCA, FICA and POPI. To provide best business solutions and train individuals and groups.
MINIMUM REQUIREMENTS - QUALIFICATIONS & WORK EXPERIENCE
- A FSCA (FSB) recognised qualification
- Preferred to hold a recognised Legal or Accounting degree
- Minimum 3 years' experience in compliance and risk management within the financial services industry.
- Category I FSP experience
- Please note only applicants who meet these requirements will be considered for this position._
COMPLIANCE DUTY AND RESPONSIBILITY
- Outsourced compliance function delivered to financial services clients
- 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
- Services to be delivered to Independent FSPs and Corporate clients
- Perform all functions to the standard and deadlines set by Regional Manager
- Provide clients with high quality, personalized and substantive reports
- Include clients in compliance processes and provide post monitoring feedback
- Maintain records as required by the business
- Display behaviour and attitudes that positively contributes to the wellbeing and development of the regional team, the company, and its clients
- Sourcing and signing up of new clients
COMPETENCIES AND SKILLS
- Good working knowledge of compliance legislation viz. FICA, FAIS, NCR and/or POPI
- Understanding and knowledge of risk management principles
- Exceptional verbal and written communication skills
- Work under pressure, independently, and as part of a team
- Proficient presentation skills
17 February 2023
Job Type:
Permanent
Education:
- Bachelors (required)
Experience:
- Compliance and
- Financial services industry: 3 years (required)
License/Certification:
- FSCA (FSB) recognised qualification (required)
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