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Compliance Officer

4 months ago

Johannesburg, South Africa Adzuna ZA B C2 Full time

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 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 BCom Law or LLB
 Must be a registered and FSCA Compliance Officer (CAT 1)
 RE 1 Certificate
 1 3 years compliance experience in the financial services industry
 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 high-performance environment at different levels
 Client relationship building skills.