Compliance Assistant

4 days ago


Cape Town, South Africa Aquarius Recruitment Full time

Our client is a dynamic and reputable Asset Management company based in Cape Town - they are growin and looking to extend their compliance team to support the compliance officer.

**Job Description**:
This role assists the Compliance Officer in establishing and embedding a culture of compliance within the business.

Assist the Compliance Officer to ensure that the company implements and maintains an effective, committed compliance and integrity program, to prevent and detect violations of legislation, internal rules and policies and investment guidelines.

Assists in mitigation of compliance and/or regulatory risk.

Challenges and escalates to the Compliance Officer where deemed appropriate.

Assists the Compliance Officer in compliance by implementation of compliance risk management and monitoring plans.

Performs compliance monitoring in accordance with relevant compliance framework. Facilitates resolution of compliance breaches and assists in mitigation of regulatory risk.

Reports on compliance breaches to the Compliance Officer.

Supports the Compliance Officer in implementing new regulatory developments.

Provide support to the Compliance Officer of the CAT I, II and ManCo.

Assist the Compliance Officer in risk management and review of legal agreements.

Review draft mandates and investment guidelines with the view of implementation.

Assist the Compliance Officer in ensuring that an effective system exists for communicating the compliance standards and guidance in the compliance area, including digital training and other relevant communications mediums.

Characteristics

Ability to work effectively within a team.

Demonstrates the adherence to core compliance values.

Balances own priorities with directing and motivating others.

Creates a climate for optimal performance.

Guides and directs staff to achieve regulatory excellence.

Individually accountable for time, tasks and output quality.

Manages own performance.

Time management and planning.

**Qualifications**:
Completed Relevant degree. Preferably LL.B

Regulatory Exams for CAT I and II FSP (advantageous).

Experience

2 to 3 years financial services experience (advantageous).

Good working knowledge of FAIS, FICA and other related legislation, such as CISCA and POPIA (advantageous).


  • Compliance Intern

    18 hours ago


    Cape Town, South Africa Compliance Intern Full time

    An authorised financial services provider, operating within the long-term insurance industry in South Africa, requires the services of a **Compliance Intern** in **Bellville**. The main purpose of the role will be to assist the Onboarding Manager with contracts as well as any other compliance issues that needs to be attended to while onboarding new business...

  • Head of Compliance

    7 months ago


    Cape Town, South Africa Compliance Recruitment Solutions Full time

    Posted 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 Assistant

    7 months ago


    Cape Town, South Africa Capital Assignments Full time

    Our Client, a renowned asset management firm, is seeking a Compliance Assistant to join their dynamic team. With a hybrid working model offering three days in the office, this is your chance to thrive in the financial services sector while enjoying the flexibility of working remotely. This innovative firm is not just about investments— they are pioneers...


  • Cape Town, South Africa Moving Heads Personnel Full time

    **Assistant Compliance Officer** **Cape Town** Assist the compliance team in ensuring that the Group implements and maintains an effective, committed compliance and integrity program, to prevent and detect violations of legislation, internal rules and policies and investment guidelines. - Assist in monitoring compliance with applicable legislation and...


  • Cape Town, South Africa Lion of Africa Life Assurance Company Full time

    **Assistant compliance Officer** to be based in Cape Town CBD, Western Cape. The company is looking for an exciting talent to join and fill the said role in our Compliance Unit. We are looking for a graduate fresh out of university and wanting to work within the insurance industry. DUTIES AND RESPONSIBILITIES: - Assist the Compliance Officer in embedding...


  • Cape Town, South Africa Futuregrowth Full time

    **FUTUREGROWTH ASSET MANAGEMENT IS RECRUITING!** We have an exciting opportunity available for an **Assistant Compliance Officer **in our Compliance team. - Futuregrowth is committed to transformation. A strong preference will be given to _ **Assistant Compliance Officer** Are you passionate about calculations and analysis and are you seeking a...


  • Cape Town, South Africa Sanlam Full time

    Who we are? Sanlam Investments Group is one of South Africa’s largest investment management companies. We have a performance history spanning over 100 years, and offer a range of investment and financial planning solutions to protect and grow the long-term wealth of our clients. **We take particular pride in**: - Sanlam’s longevity and innovation -...


  • Cape Town, South Africa RJPersonnel Full time

    2years - Assist the Compliance Officer in embedding a culture of compliance - Assist in the development of risk-based Monitoring Plans - Take ownership of Compliance Monitoring - Manage FAIS profile changes - Report on level of compliance - Present findings and be able to engage with Management - Maintain Noncompliance Register - Assist with ad hoc rollouts...


  • Cape Town, South Africa Lion of Africa Life Assurance Company Full time

    **Junior Compliance Officer/Assistant **to be based in Cape Town CBD, Western Cape. The company is looking for an exciting talent to join and fill the said role in our Compliance Unit. DUTIES AND RESPONSIBILITIES: - Assist the Compliance Officer in embedding a culture of compliance - Assist in the development of risk-based Monitoring Plans - Take...


  • Cape Town, South Africa Advania UK Full time

    **Legal and Compliance Administrative Assistant** **About Us**: We are the tech company with people at heart. At Advania, we believe in empowering people to create sustainable value through the clever use of technology. As one of Microsoft's leading partners in the UK, specialising in Azure, Security, Dynamics 365, and Microsoft 365, we have a proven track...


  • Cape Town, South Africa Western Cape Government Full time

    **Job Purpose**: The Department of Transport and Public Works, Western Cape Government has an opportunity for a qualified and competent individual to assist in rendering service with regard to monitoring, compliance and performance management. This post is stationed in Cape Town, CBD. **Minimum Requirements**: An appropriate 3 year National Diploma/B-Degree...


  • Cape Town, South Africa CME Recruitment Full time

    **Assistant Credit and Legal Compliance Manager** **RETAIL FRANCHISE INDUSTRY** - **TO MANAGE THE CREDIT AND LEGAL ISSUES RELATED TO THE FRANCHISE INDUSTRY. THE FOCUS OF THE POSITION IS ON FINANCIAL AND CREDIT COMPLAINCE AND THE SUCCESSFUL CANDIDATE MUST HAVE A CREDIT COMPLIANCE BACKGROUND**_ **NON NEGOTIABLE REQUIREMENTS** - 3 years experience managing...


  • Cape Town, South Africa Western Cape Government Full time

    **Job Purpose**: The Department of Infrastructure, Western Cape Government has an opportunity for a qualified and competent individual to ensure an integrated, effective and efficient management of administrative services relating to monitoring, compliance and performance management in supply chain management. This post is stationed in Cape Town,...


  • Cape Town, South Africa Surgo HR & Training Full time

    Our client a BPAAS (Business Process as a Service) company based in Cape Town is looking for a Line Compliance Assistant Manager to join their team Primary Job Responsibility To ensure Regulatory, Contractual and Policies & Procedural compliances in the area by conducting regular reviews Reporting exceptions to the management Brief Job...


  • Cape Town, South Africa Paqueta Personnel Full time

    My client a leading and well knownFMCG company in Cape Town requires a competent and experienced Assistant Company Secretary / Compliance Officer to join theit team. **Purpose of the position**: To assist the Group Company Secretary in ensuring that the company is in compliance with its regulatory and legal requirements as well as internal policies by...

  • Compliance Officer

    2 weeks ago


    Cape Town, South Africa iLaunch Full time

    Assist in monitoring compliance with applicable legislation Review and comment on draft Supplemental Deeds Monitor compliance with Supplemental Deeds Assist with the compilation and submission of quarterly and annual FSB reporting Advise management and clients on all compliance and regulatory matters Assist in promotion compliance standards and...

  • Compliance Officer

    7 days ago


    Cape Town, South Africa ABC Worldwide Full time

    **Role Purpose** Implement the compliance strategy aligned to the compliance monitoring plan to assist the business in honoring their responsibility to comply with applicable regulatory requirements through directing the compliance function through identification, assessing, managing, monitoring and report on regulatory compliance risks facing the...

  • Compliance Officer

    4 weeks ago


    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    Job Description:The Recruitment Council is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring that the company complies with regulatory requirements and best practices.About the Role:This is a full-time position that requires a strong understanding of compliance laws and regulations....


  • Cape Town, South Africa Flash Full time

    **Key Performance Areas**: - Maintain and monitor a compliance framework in collaboration with the relevant stakeholders. - Perform internal controls on policies, and procedures to ensure compliance. - Monitor the Governance frameworks/policies to align the business to the Pepkor Groups governance requirements - Assist in maintaining the Company’s...

  • Compliance Officer

    7 days ago


    Cape Town, South Africa Green Marble Recruitment Consultants Full time

    Minimum requirements:Bachelor of Laws (LLB), Admitted Legal Practitioner, Postgraduate qualification in Compliance (advantageous).Knowledge and understanding of the Companies Act, 2008, King IV and JSE Listings Requirements.At least 3-4 years post-qualifying experience in a company secretarial and compliance role.Strong analytical and legal drafting...