CAT2 Compliance Officer

3 months ago


South Africa CA Financial Appointments Full time

My client is currently recruiting for a Category II Compliance Officer. 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:

  • Manage compliance structure with stakeholders
  • Determine possible compliance breaches and explore compliance irregularities and concerns
  • Review and resolve complaints and Fit and Proper queries
  • Maintain representative register
  • Verify and keep compliance records up to date
  • Maintain compliance procedures and manuals
  • Manage and report on compliance audits

Requirements:

  • Must have a BCom Law or equivalent qualification
  • Must be a registered FSCA Compliance Officer, and have all appropriate SAIFM Compliance certification
  • Minimum of 3-5 years compliance experience in financial services industry
  • Must be knowledgeable of FICA, FAIS and relevant legislation, regulations and rules
  • Strong communication and report writing skills
  • Excellent client relationship building skills

Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role . Please do though continue to follow us online and apply for suitable opportunities.


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