Compliance Officer

2 days ago

Cape Town, Western Cape, South Africa GG Financial Recruitment Full time
Growing Company, who is operating as a Consultancy Firm in the Financial Services industry, is seeking the services of a Compliance Officer to join their dynamic young team.  Based in Southern suburbs Cape Town.

Duties & Responsibilities
You will be required to act as Director of an anticipated Compliance Firm my client wishes to register with the Financial Sector Conduct Authority.  The purpose of this opportunity is to expand their existing service offering to their client base to include FAIS and FICA Compliance Services. You will also be listed as the Compliance Officer on record for the respective clients and assist with overseeing the Compliance requirements of Financial Services Providers acting in the Crypto and Derivative Markets Industry. 
 
Are you an FSCA approved Category 1 and/or 2 Compliance Officer with experience monitoring Financial Services Providers and assisting them to remain compliant with Regulatory obligations? In this role, you are to ensure that our established client base adheres to all FAIS and FICA related regulations, laws, and industry standards. An understanding of the POPI Act and the Financial Markets Act will be an advantage.  You will be required to develop, implement and oversee comprehensive compliance programs to mitigate risks and promote ethical conduct. Through continuous monitoring and assessment, you will identify and address potential compliance issues, providing guidance to the relevant stakeholders to maintain a culture of compliance. You will collaborate with clients to educate and guide them on compliance requirements in a practical manner. Your commitment to upholding the highest ethical standards will contribute to the integrity and reputation of our client's Compliance Practice.
 
Responsibilities:
  • Assuring compliance with the FAIS and FIC Act are always adhered to through close collaboration with stakeholders, key individuals and external compliance officers;
  • To identify and brief key individuals on all forthcoming regulatory changes, reporting requirements and potential impacts on their businesses;
  • Liaison with external compliance officers/consultants when required;
  • Preparation of packs and compliance reports on a monthly or quarterly basis;
  • Compliance review of FIC Act requirements;
  • Maintaining and Administering the Representative Register of clients where deemed necessary;
  • Monitoring information on the FAIS E-portal to ensure the correctness of information and that all the relevant profile changes have been captured;
  • Ensuring all Quarterly fit & proper declarations have been sent and received;
  • Due Diligence and review of third-party contracts including terms of business with various providers;
  • Ongoing compliance monitoring and reporting in line with FSCA requirements;
  • Regulatory Research to ensure that any reporting requirements are promptly communicated to clients;
  • Monitoring of aspects of anti-money laundering (AML) systems of clients, including monitoring effectiveness and enhancing the controls and procedures where necessary;
  • Implement, regularly review, and update all policies and procedures to ensure accuracy and compliance with regulatory changes in FAIS and FIC regulations;
  • Establish a culture of compliance by providing as much guidance as possible to clients;
  • Monitor industry trends and developments and plan for potential changes;
  • Support company on agreements and license applications/renewals where required;
  • Assistance with the capturing of Annual Financial Statements and the relevant supporting documentation on the FAIS E-portal
 
Requirements:
  • FSCA Approved Compliance Officer (recognized qualification)
  • First Level Regulatory Exam for Key Individuals (RE1)
  • At least 1 year experience working as a Compliance Officer in the Financial Services Industry

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