CAT2 Compliance Officer
3 months ago
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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Compliance Officer
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South Africa CA Financial Appointments Full timeAbout the RoleWe are seeking a skilled Compliance Officer to join our team at CA Financial Appointments. As a Category II Compliance Officer, you will be responsible for implementing relevant legislation and regulations, and driving quality assurance and compliance adherence in our Adviser offices.Key ResponsibilitiesManage compliance structures with...
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