Compliance Officer
1 month ago
My client who is a leader in the Wealth industry is seeking a Compliance Officer to join their team to oversee the Group Compliance requirements implementing and monitoring procedures. Do you have your RE5 and RE1? In this role, you are to ensure that the organization adheres to all relevant regulations, laws, and industry standards. You will develop, implement, and oversee comprehensive compliance programs to mitigate risks and promote ethical conduct within the company. Through continuous monitoring and assessment, you will identify and address potential compliance issues, providing guidance to the leadership team to maintain a culture of compliance. You will collaborate with various departments to educate and train employees on compliance requirements. Your commitment to upholding the highest ethical standards will contribute to the integrity and reputation of the company.
Responsibilities:
- Assuring compliance with the FSCA (Financial Service Conduct Authority) is always adhered to through close collaboration with stakeholders, key individuals, and external compliance officers
- To identify and brief key individualsand exco on all forthcoming regulation changes and impacts on the business
- Liaison with external compliance consultants
- Preparation of board packs and compliance reports every quarter
- Compliance review of all NewBusiness and Servicing cases submitted for the group
- Submission of Fund Selection and Withdrawal cases to various providers
- Maintaining and Administering the Representative Register
- Maintaining and Administering the Competency Register (e.g.CPD and Supervision tracking)
- Fit and Proper checks for New Wealth Managers
- Ensuring all New Wealth Managersare provided with a "Starter Pack" (e.gRep Disclosures drawnup, RMCP Emails to be sent, Submission ofMasthead Applications, Drawing up of Supervision Forms)
- Ensuring all Quarterly declarations havebeen sent and received
- Due Diligence and review of third-party contracts including terms of business with various providers
- Ongoing compliance monitoring and onboarding checks of all advisory staff, fit and proper competency checks according to FSCA regulations
- Audit support - Provision of compliance requirements for internal and external a
-
Head of Compliance
4 weeks ago
Cape Town, South Africa Compliance Recruitment Solutions Full timePosted by - David Symes- Recruiter**HEAD OF COMPLIANCE (CAPE TOWN) - AML (INC FRAUD & KYC) AND STAFF MANAGEMENT EXPERIENCE REQUIRED** **Ref: 4001G** **ZAR 100K-120K Per Month + Good Bens & Bonus inc Flexible Working Cape Town** Our client, a rapidly expanding Fintech in the money transfer sector, seeks an experienced Head of AML & Compliance to develop...
-
Compliance Officer
2 weeks ago
Cape Town, South Africa Snatch.Work Full timeA fund management company based in **Stellenbosch**, with two funds under their stewardship, is looking for a **Compliance Officer** to join their team to help ensure compliance within the company. As a **Compliance Officer**, you will be staying ahead of regulations globally, establishing robust controls and procedures for compliance across all...
-
Compliance Officer
4 days ago
Cape Town, South Africa Finovate People Full timePosition: Compliance OfficerLocation: Claremont offices, Cape Town Type: Full-timeAbout the Role:Are you a detail-oriented Compliance Officer professional ready to progress into a leadership position? Or are you a Compliance Officer Team Leader ready to take on a new challenge and work within a new team? Our client is seeking a Compliance Officer Team...
-
Compliance Officer
2 months ago
Cape Town, South Africa Adzuna ZA B C2 Full timeOur client, a top investment management team, seeks a Compliance Officer to join them. Role works closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure compliance implementation, but also ensuring a culture...
-
Compliance Officer
4 weeks ago
Cape Town, South Africa CA Financial Appointments Full timeOur client, a top investment management team, seeks a Compliance Officer to join them. Role works closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure compliance implementation, but also ensuring a culture...
-
Compliance Officer
4 weeks ago
Cape Town, South Africa Adzuna ZA B C2 Full timeOur client, a top investment management team, seeks a Compliance Officer to join them. Role works closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure compliance implementation, but also ensuring a culture...
-
Compliance Officer
2 months ago
Cape Town, South Africa CA Financial Appointments Full timeOur client, a top investment management team, seeks a Compliance Officer to join them. Role works closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure compliance implementation, but also ensuring a culture...
-
Compliance Officer
2 months ago
Cape Town, South Africa CA Financial Appointments Full timeOur client, a top investment management team, seeks a Compliance Officer to join them. Role works closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure compliance implementation, but also ensuring a culture...
-
Compliance Officer
2 weeks ago
Cape Town, Western Cape, South Africa CA Financial Appointments Full timeOur client, a leading investment management firm, is looking for a Compliance Officer to join their team. This role collaborates closely with the Regulatory Compliance Manager and requires a qualified Cat2 or Cat2A registered compliance officer with current asset management experience. An exciting opportunity not only to ensure compliance implementation but...
-
Compliance Officer
4 weeks ago
Cape Town, South Africa CA Financial Appointments Full timeOur client, a top investment management team, seeks a Compliance Officer to join them. Role works closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure compliance implementation, but also ensuring a culture...
-
Compliance Officer
2 weeks ago
Cape Town, Western Cape, South Africa Parvana Strategic Sourcing Full timeClient Details:Our client is a premier provider of wealth management services, dedicated to empowering their customers to build an investment portfolio that aligns with their financial aspirations. Utilising cutting-edge technology, they offer direct investment opportunities through their user-friendly online platform. Their team of experts is committed to...
-
Compliance Officer
8 hours ago
Cape Town, South Africa CA Financial Appointments Full timeOur client, a financial services provider, is seeking a Compliance Officer experienced in long-term insurance, FIAS and FICA. The ideal candidate would have completed their supervision and will report directly to the Senior Manager in the team. Responsibilities: Determine statutory and management compliance obligations Assist in overseeing and maintaining...
-
Compliance Officer
2 weeks ago
Cape Town, Western Cape, South Africa Hire Resolve Us - Executive Personnel Agency Full timeHire Resolve's client is looking for a Compliance Officer to join their team. Our client is seeking a dedicated and detail-oriented individual who will be responsible for ensuring compliance with regulatory requirements and internal policies. As a Compliance Officer, you will play a crucial role in maintaining the company's integrity and reputation by...
-
Compliance Officer
4 weeks ago
Cape Town, South Africa FROGG Recruitment Full time**Compliance Officer Cape Town** Our client in insurance financial services is looking for a compliance officer with 3-5 years experience. **Salary Negotiable** **Min Requirements** A bachelor’s degree in Law, Business, or a related field. Proven experience as a Compliance Officer or similar role within the betting/casino industry. Strong knowledge...
-
Compliance Officer
3 weeks ago
Cape Town, South Africa Masthead (Pty) Ltd Full time**POSITION: Compliance Officer (Cape Town)** REPORTING TO: Regional Manager LOCATION: Tyger Valley, Cape Town BUSINESS UNIT: Compliance START DATE: June 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. **MINIMUM...
-
Compliance Officer
2 weeks ago
Cape Town, Western Cape, South Africa Hire Resolve Full timeHire Resolve's client is looking for a Compliance Officer to join their team. Our client is seeking a dedicated and detail-oriented individual who will be responsible for ensuring compliance with regulatory requirements and internal policies. As a Compliance Officer, you will play a crucial role in maintaining the company's integrity and reputation by...
-
Compliance Officer
2 months ago
Cape Town, South Africa Hire Resolve Full timeHire Resolve's client is looking for a Compliance Officer to join their team. Our client is seeking a dedicated and detail-oriented individual who will be responsible for ensuring compliance with regulatory requirements and internal policies. As a Compliance Officer, you will play a crucial role in maintaining the company's integrity and reputation by...
-
Compliance Officer
4 weeks ago
Cape Town, South Africa Hire Resolve Full timeHire Resolve's client is looking for a Compliance Officer to join their team. Our client is seeking a dedicated and detail-oriented individual who will be responsible for ensuring compliance with regulatory requirements and internal policies. As a Compliance Officer, you will play a crucial role in maintaining the company's integrity and reputation by...
-
Compliance Officer
4 weeks ago
Cape Town, South Africa Masthead (Pty) Ltd Full timeCareer Vacancy **KEY INFORMATION** **POSITION: Compliance Officer (Cape Town)** REPORTING TO: Regional Manager LOCATION: Tyger Valley, Cape Town BUSINESS UNIT: Compliance START DATE: April 2023 *** To effectively deliver a quality compliance and risk management service to our clients at a regional level. Adherence to the compliance requirements as...
-
Compliance Officer
3 weeks ago
Cape Town, South Africa Dynexity Full timeMy client in Financial/Fund Services is looking for a Registered Compliance Officer ( CAT I or CAT III) to join their team in CPT. This is a Regulatory Compliance function - FAIS, S13B of the Pension Funds Act & FIC Compliance (FIC MLRO). Must have relevant Degree / Post Graduate Qualification with 3-5 years experience in a related regulatory Compliance...
