Compliance Officer

4 months ago

Pretoria, South Africa Numeral Financial Services Group Full time

Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure compliance? Are you fantastic at evaluation and coaching where required? Raise your hand because

WE’RE HIRING

It’s our mission to unleash the potential in our team, and we know that teams perform best when they are diverse and each individual feels that they belong. That’s why we want you to join us in the capacity of Compliance Officer. This role plays an integral part in our team, as you will be the custodian of Company compliance and form an integral part of ensuring risk is mitigated within the Financial Services Provider space.

 

What can we offer you? Some of our benefits include:

  • Modern fit-for-purpose people practices.
  • Working in a state-of-the-art tech building that includes access to on-site gym to help you grow your fitness as much as you do your brain.
  • Two on-site restaurants that will have you inhaling aromas of mouth-watering lunchtime dishes, and freshly brewed coffee. At Fintech campus that’s just a part of the rhythm of the day.

 

Great, so who is a good fit?

A specialist with a high attention to detail and who has the ability to ensure FAIS and FICA compliance is met. Someone who fully understands the Financial services industry, as well as the processes within an FSP environment. The ideal candidate will also have excellent verbal and written communications skills and the ability to provide feedback and coaching where needed.

 

So what will such a fantastic individual’s duties and responsibilities include?

  • Responsible for implementing and enforcing the Business’ compliance programmes;
  • Maintain awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements;
  • Consult on an on-going basis with Operational managers to ensure conformance with applicable laws and regulations;
  • Manage, oversee and monitor Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, license conditions and annual levies;
  • Perform statistical sampling and monitoring;
  • Maintain register of representatives and informs Registrar of any changes;
  • Responsible for the control of the Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) regulations;
  • Analyse received documents and interact with the Office Manager to advise if received documents are acceptable;
  • Ensure compliance with and oversight of, ongoing statutory regulatory requirements;
  • Responsibility includes monitoring and validation of investor files, technical and documentary support to investor teams, updating of operational procedures and participation in compliance committees;
  • Develop, initiate, maintain and revise policies and procedures for the general operation of regulatory compliance;
  • Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future;
  • Provide Compliance reports to Management so as to mitigate risk and assess success;
  • Ensure effective risk management and internal control for area of responsibility.

 

Are there any specific skills and attributes required?

  • Ability to apply self-confidence and self-regulation;
  • Trustworthiness and conscientiousness by taking responsibility for personal performance;
  • Loyalty toward the organisation;
  • Commitment by aligning with organisational goals;
  • Ability to apply assertiveness;
  • Attention to detail;
  • Controlled decision-making process;
  • Confidentiality and time management / prioritising;
  • Planning and scheduling workability to manage projects and processes;
  • Listening and organising ability to understand, organise, analyse and respond appropriately;
  • Communication skills by remaining professional and applying effective communication in all areas;
  • Flexibility relating to work dealings, assist when required even if it’s not in your job description;
  • Enthusiasm for learning and self-improvement;
  • Be able to work accurately and effectively in a highly pressurised environment;
  • Unrivalled analytic ability;
  • Accountability and a team player.

Take a look at the what the requirements for this amazing job are and if you meet them apply, apply, apply:

  • Computer literate with knowledge in Excel, Word and MS Suite;
  • Completed Senior Certificate (Matric);
  • Meeting the competence, qualifications and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority would be advantageous;
  • 3-6 years’ experience as a Compliance Officer in the Financial Services Industry;
  • A thorough understanding and knowledge of compliance risk management and monitoring programmes;
  • A thorough understanding and knowledge of the regulatory requirements impacting on the various businesses (e.g. FAIS, FICA, LTIA, PPR, POPIA);
  • Degree in Compliance / Legal or a similar field;
  • Ability to communicate appropriately and effectively in spoken and written English and Afrikaans;
  • Be able to work long hours when required.

 

  • Compliance Officer

    1 week ago

    Pretoria, South Africa Jobted ZA C2 Full time

    Overview Hire Resolve is seeking a dedicated Compliance Officer on behalf of our client, a reputable financial services company specializing in wealth management and short-term insurance. This role is integral to ensuring regulatory compliance across both divisions, supporting a robust compliance culture, and managing compliance risks. The ideal candidate...

  • Compliance Officer

    3 weeks ago

    Pretoria, Gauteng, South Africa ES Recruitment Full time

    ES Recruitment seeks a Compliance Administrator to assist the compliance officer with Regulatory and Compliance administration. **Key Responsibilities*** Maintenance of Compliance Policies and Registers* Monthly Reports* Complaints Handling* Compliance Risk Management Plans* Compliance Monitoring* Document processes**Requirements*** Grade 12 (Matric)*...

  • Compliance Officer

    3 weeks ago

    Pretoria, Gauteng, South Africa Isilumko Staffing Full time

    Job DescriptionJob Title: Compliance OfficerCompany: Isilumko StaffingLocation: [Location]Job Type: Full-timeJob Category: ComplianceAbout Us: Isilumko Staffing is a leading staffing agency that provides top talent to various industries. We are seeking a highly motivated and experienced Compliance Officer to join our team.Key Responsibilities:Provide legal...

  • Compliance Officer

    4 months ago

    Pretoria, South Africa Numeral Financial Services Group Full time

    Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure compliance? Are you fantastic at evaluation and coaching where required? Raise your hand because WE’RE HIRING! ...

  • Compliance Officer

    4 months ago

    Pretoria, South Africa Status Asset Management Full time

    Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure compliance? Are you fantastic at evaluation and coaching where required? Raise your hand becauseWE’RE HIRING! It’s our...

  • Risk & Compliance Officer

    2 weeks ago

    Pretoria, South Africa Jobted ZA C2 Full time

    Risk & Compliance Officer Centurion Pretoria Our client in Centurion Pretoria is looking for a Risk & Compliance Officer in Centurion Pretoria You will be involved in Insurance, financial and legal. You will ensure regulatory requirements, internal policies, and industry standards.. Salary Negotiable Min Requirements Bachelor’s degree in Risk...

  • Compliance Officer

    4 weeks ago

    Pretoria, Gauteng, South Africa Masthead Ltd Full time

    Job Title: Compliance ConsultantAt Masthead Ltd, our passion is keeping businesses in business. As a national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs), we know this can only be achieved through the calibre of people we employ - people who are client-focused, set themselves...

  • Junior Compliance Officer

    5 months ago

    Pretoria, South Africa Watershed Consulting Full time

    **Job Description**: **JUNIOR COMPLIANCE OFFICER** **REPORTING TO** Senior Compliance Officer: Advice **PURPOSE OF JOB** **_The person must have extensive FAIS experience and have experience in working with Administration/Supervision/ FAIS of Financial Advisors in a Wealth Managment and/or Financial Services environment _** To form part of the...

  • Risk & Compliance Officer

    3 weeks ago

    Pretoria, South Africa Frogg Recruitment SA Full time

    Risk & Compliance Officer Centurion Pretoria Our client in Centurion Pretoria is looking for a Risk & Compliance Officer in Centurion Pretoria You will be involved in Insurance, financial and legal. You will ensure regulatory requirements, internal policies, and industry standards..Salary Negotiable Min RequirementsBachelor’s degree in Risk Management,...

  • Risk & Compliance Officer

    3 weeks ago

    Pretoria, South Africa FROGG Recruitment Full time

    Risk & Compliance Officer Centurion Pretoria Our client in Centurion Pretoria is looking for a Risk & Compliance Officer in Centurion Pretoria You will be involved in Insurance, financial and legal. You will ensure regulatory requirements, internal policies, and industry standards..Salary Negotiable Min RequirementsBachelor’s degree in Risk Management,...

  • Risk & Compliance Officer

    3 weeks ago

    Pretoria, South Africa Frogg Recruitment SA Full time

    Risk & Compliance Officer Centurion Pretoria Our client in Centurion Pretoria is looking for a Risk & Compliance Officer in Centurion Pretoria You will be involved in Insurance, financial and legal. You will ensure regulatory requirements, internal policies, and industry standards..Salary Negotiable Min Requirements Bachelor’s degree in Risk...

  • Compliance Officer

    6 months ago

    Pretoria, South Africa Krypton Mining Full time

    We are seeking a dedicated Compliance Officer who is mission-driven and passionate about regulatory compliance. The Compliance Officer will be responsible for developing and overseeing standards and processes to ensure effective compliance programs across the organization. This includes assessing and mitigating all regulatory compliance risks and providing...

  • Compliance Officer Trainee

    4 days ago

    Pretoria, Gauteng, South Africa The Recruitment Council Full time

    We are seeking a highly skilled Compliance Officer Trainee at The Recruitment Council. This is an exciting opportunity to gain hands-on experience in the field of compliance and regulatory affairs.Key Responsibilities:Assist in monitoring and analyzing regulatory developments in the industryReview and update compliance policies and proceduresHelp prepare...

  • Legal and Compliance Officer

    3 weeks ago

    Pretoria, Gauteng, South Africa Profession Hub Full time

    We are searching for a skilled Legal and Compliance Administrator to enhance our services and expand our dynamic team at Profession Hub.Job Purpose: To provide administrative support and ensure compliance with legal contracts and regulations.Key Responsibilities:Draft, file, and manage legal contracts and documents.Update the billing system and maintain...

  • Compliance Officer

    1 month ago

    Pretoria, Gauteng, South Africa beBee Professionals Full time

    BeBee Professionals is seeking a Compliance Officer - Healthcare to join our team. The successful candidate will be responsible for ensuring that the organization is compliant with all applicable healthcare regulations and standards.The ideal candidate should have a strong understanding of healthcare regulations and standards, as well as excellent...

  • FAIS Compliance Officer

    14 hours ago

    Pretoria, South Africa Jobted ZA C2 Full time

    MINIMUM REQUIREMENTS QUALIFICATIONS & EXPERIENCE - A FSCA recognised qualification preference will be given to a BCOM, Legal or Accounting degree - Registered Category I Compliance Officer with the FSCA (Compulsory). - Relevant experience in the financial Industry, preference in compliance or risk management within the financial services industry. - A valid...

  • Compliance Officer

    7 months ago

    Pretoria, South Africa Financial Intelligence Centre (FIC) Full time

    Conducting desktop monitoring of institutions regarding registration and reporting compliance; - Responding to public and stakeholder queries on the FIC Act compliance and ML/TF/PF risk matters within prescribed timelines; - Drafting responses to stakeholder correspondence and drafting minutes of stakeholder meetings, within prescribed timelines and...

  • Finance Compliance Officer

    3 weeks ago

    Pretoria, Gauteng, South Africa Numeral XII (Pty) Ltd. Full time

    Job Title: Finance Compliance OfficerCompany: Numeral XII (Pty) Ltd.We are seeking a highly skilled Finance Compliance Officer to join our team. The successful candidate will be responsible for managing and overseeing activities related to the rendering of financial services as a Category I and Category II FSP.Key Responsibilities:Ensures the FSP has...

  • FAIS Compliance Officer

    15 hours ago

    Pretoria, South Africa Sentinel Staffing Services Full time

    MINIMUM REQUIREMENTSQUALIFICATIONS & EXPERIENCEA FSCA recognised qualification preference will be given to a BCOM, Legal or Accounting degreeRegistered Category I Compliance Officer with the FSCA (Compulsory).Relevant experience in the financial Industry, preference in compliance or risk management within the financial services industry.A valid drivers...

  • FAIS Compliance Officer

    4 hours ago

    Pretoria, South Africa Sentinel Staffing Services Full time

    MINIMUM REQUIREMENTS QUALIFICATIONS & EXPERIENCE A FSCA recognised qualification preference will be given to a BCOM, Legal or Accounting degree Registered Category I Compliance Officer with the FSCA (Compulsory). Relevant experience in the financial Industry, preference in compliance or risk management within the financial services industry. A valid drivers...