Assistant Legal Compliance Officer

2 weeks ago


Cape Town, Western Cape, South Africa RJPersonnel Full time
2years

  • Assist the Compliance Officer in embedding a culture of compliance
  • Assist in the development of riskbased Monitoring Plans
  • Take ownership of Compliance Monitoring
  • Manage FAIS profile changes
  • Report on level of compliance
  • Present findings and be able to engage with Management
  • Maintain Noncompliance Register
  • Assist with ad hoc rollouts of compliance related Initiatives
  • Assist the Compliance Officer with regulatory reviews, inspections and investigations

Qualifications and Experience:

  • LLB
  • Compliance Management Certificate or Postgraduate Diploma in Compliance (preferably)
  • RE 1 (preferably)
years monitoring experience in financial services environment

  • 1year monitoring experience in Life Insurance environment (preferably)
  • General knowledge and understanding of legislation in the financial services environment

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