Compliance Officer Cat Ii

2 weeks ago

Cape Town, Western Cape, South Africa PSG Konsult Full time
Compliance Officer CAT II
Tygervalley, Cape Town


PSGs commitment to transform and embrace diversity is what drives us to achieve a diverse workplace with employment equity as a key goal to create an inclusive workforce.

In achieving our employment equity goals, we give preference to applicants from designated groups, and we encourage people with disability to apply.


Job description:
PSG Distribution is currently recruiting for a Category II Compliance Officer position

Reporting to the Head:
Compliance - Distribution, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the PSG Adviser offices (long
- and short
- term assurance, collective investments and stockbroking).

Responsibilities:

  • Maintain a compliance framework in collaboration with the relevant stakeholders
  • Identify potential compliance breaches and investigate compliance irregularities or areas of concern
  • Review, register and resolve complaints received from clients
  • Maintain the key individual / representative register
  • Ensure compliance records are up to date
  • Review and resolve Fit and Proper queries
  • Maintain the compliance procedures and manuals
  • Conduct and report on compliance audits at Adviser offices

Minimum requirements:

  • Relevant qualification such as B Com Law or equivalent
  • Must be a registered and FSCA Compliance Officer, in the possession of all appropriate SAIFM Compliance certification
  • Knowledge of FICA, FAIS and relevant legislation, regulations and rules
  • Relevant knowledge, skills and corporate compliance experience
  • Relevant experience working with Financial Advisers / Financial Planners
  • Computer literate in MS Office

Competencies required:

  • Interpersonal, communication and report writing skills
  • Ability to work independently and as part of team
  • Ability to operate in a highperformance environment at different levels
  • Client relationship building skills.

Ability to commute/relocate:

  • Cape Town,

Western Cape:
Reliably commute or planning to relocate before starting work (required)

Education:

  • Bachelors (required)

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