Junior Compliance Officer

6 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 Compliance team within the company, providing compliance support to the entities from primarily from a FAIS perspective. FICA compliance will be incidental to the role. The aim is for the role to grow over time as more experience is gained within the role.

**KEY RELATIONS**

Operations, Advisors, and their assistants, HR, IT

**MINIMUM QUALIFICATIONS AND EXPERIENCE**

Matric

3-year Tertiary qualification (bachelor’s degree, postgraduate diploma - preference in finance, business management related fields)

3 years’ experience in the financial services industry

**COMPUTER APPLICATIONS**

Microsoft Office (Excel, Word, Outlook), File Explorer, SharePoint, Onboarding and Screening programme(optional)

**COMPETENCIES***

Ability to communicate clearly

Bilingual (preferred)

Analytical skills

Report drafting skills

Good communication skills in order to communicate with a diverse and challenging workforce

Organizational skills

Attention to detail

Ability to prioritise responsibilities

**KNOWLEDGE**

Understanding the legal and compliance environment within the Citadel group

Keep abreast of changes in the company and compliance procedures

Knowledge about the service offering of the different business units

**PERSONAL CHARACTERISTICS**

Maintaining high levels of confidentiality

Have a positive attitude

Be a team player

Eager to learn and learning agility

Have initiative

Ability to work independently

Accountability and ownership

**KPA/STRATEGIC BUSINESS DELIVERABLES**

Update and follow-up of compliance schedules (for example internal breaches report, personal account trading)

Liaise with IT regarding updates needed to the Broker Admin system.

Create FSPs on the Advisor Admin system and capture details pertaining to the FSPs on the Advisor Admin system.

Manage Advisor Admin system in terms of appointments and profile changes for key individuals & representatives, supervision, and supervision reports, CPDs training, other training, capture FSCA communications. Updating Key Individual & representative Competency registers.

Upload documents/agreements pertaining to new appointments/profile changes on the Broker Admin system.

Populate Annexure A that forms part of the FSP disclosure documents and any changes to it. Ensure that the Advisors/Assistants use the correct Annexure.

Capture on the Advisor Admin system the Fit and Proper requirements for the Financial Services Provider, Key Individuals and Representatives which includes:

- Regulatory Exam written by KIs, reps
- Appropriate Qualifications
- Product Specific Training
- Classes of Business training

Populate the competency reports and provide to the representatives and Key Individuals

Keep the competency reports up to date

Assisting with obtaining information to add qualifications to the FSCA list of recognised qualifications

Assist with supervision, processes around supervision, contracts etc.

Compile FAIS and FICA reports monthly

Assist with enquiries from the business

Placing of FAIS licences in the various offices of the FSPs, keeping a matrix of the various licences

Research clients’ AML risks, draft reports, request approval from Senior Management in terms of the ECDD process.

Assist/communicate and test system changes where required in terms of legislation

Assist with ad-hoc Compliance projects

Provide support to the Senior Compliance officers in implementing a compliance environment and sound compliance principles within the Group

Perform ad-hoc responsibilities from time to time

**Skills**:
Analytical Skill, Bilingual, Attention To Detail, Accountability, Compliance, Microsoft Office, Positive Attitude, Organizational Skills, Excel, Communication Skill, Organizational Skill, Supervision, Work Independently

  • Junior FAIS Compliance Officer(Pretoria)

    4 weeks ago

    Pretoria, South Africa Horizon Compliance Full time

    Job title : Junior FAIS Compliance Officer(Pretoria)Job Location : Gauteng, PretoriaDeadline : December 28, 2024Quick Recommended Links Jobs by Location Job by industries Main Requirements: You need to have at least 1- 2 years of experience in the Legal or Financial Services industry – either fully approved or rendering CO services under supervision You...

  • Junior FAIS Compliance Officer(Pretoria)

    3 weeks ago

    Pretoria, South Africa Horizon Compliance Full time

    Job title : Junior FAIS Compliance Officer(Pretoria) Job Location : Gauteng, Pretoria Deadline : December 28, 2024 Quick Recommended Links Jobs by Location Job by industries Main Requirements: You need to have at least 1- 2 years of experience in the Legal or Financial Services industry – either fully approved or rendering CO services...

  • Junior Safety Officer

    3 months ago

    Pretoria, South Africa The Vine Partners Full time

    Job Title: Junior Safety Officer (Pretoria)Job Description:As a Junior Safety Officer, you will assist in ensuring compliance with Occupational Health and Safety regulationsand promoting a safe work environment. You will work under the supervision of Senior Safety Personnel to implement safety policies, conduct inspections, and provide safety training to...

  • Junior Tax Administrative Officer

    7 months ago

    Pretoria, South Africa Pro-Match Recruitment Full time

    **Position: Junior Tax Administrative Officer** **Location**: Pretoria Office **Overview**: Our client is looking for a motivated and detail-oriented individual to join our team as a Junior Tax Administrative Officer. This role is crucial in ensuring the efficient operation of their tax-related processes. **Requirements**: - Minimum 2 years of tax...

  • Compliance Officer

    5 days ago

    Pretoria, Gauteng, South Africa Profession Hub Full time

    Job Title: Compliance OfficerEstimated Salary: R 250,000 - R 300,000 per annumAbout the RoleWe are seeking a highly skilled Compliance Officer to join our dynamic team at Profession Hub.The successful candidate will be responsible for providing administrative support regarding legal contracts with customers.Key Responsibilities:Draft initial contracts and...

  • Compliance Officer

    1 month 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

    2 months 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

    5 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...

  • Compliance Officer

    5 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 becauseWE’RE HIRING! It’s our...

  • Assistant Director: Compliance Inspectorate

    4 weeks ago

    Pretoria, South Africa Office of Health Standards Compliance Full time

    Salary: R 552 081 per annum (plus applicable benefits) Requirements: 1. A three-year bachelor’s degree or diploma in the health sciences field. 2. Current practicing registration certificate with the relevant body/council. 3. At least five (5) years’ experience in health care services, direct patient care, quality assurance/improvement and/or...

  • Risk & Compliance Officer

    2 months 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...

  • Risk & Compliance Officer

    4 weeks ago

    Pretoria, South Africa Frogg Recruitment SA Full time

    Risk & Compliance Officer Centurion PretoriaOur 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 NegotiableMin RequirementsBachelor’s degree in Risk Management, Law,...

  • Risk & Compliance Officer

    2 months 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

    2 months 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

    2 months 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

    7 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

    1 month 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...

  • Security and Compliance Officer

    3 weeks ago

    Pretoria, Gauteng, South Africa The Building Company Full time

    We are seeking a highly motivated Security and Compliance Officer to join our team at The Building Company in Gauteng. As a Security Checker, you will play a crucial role in ensuring the security of our premises, employees, and customers.About the Role:This is a full-time position that requires a high level of attention to detail and excellent communication...

  • Reporting and Compliance Officer

    3 weeks ago

    Pretoria, South Africa Jobted ZA C2 Full time

    Requirements: - Degree in accounting or internal auditing - At least 3 years experience in auditing - Understanding and working knowledge of project management - Good organisational skills and understanding of financial monitoring and administration and accounting systems - Experience in developing internal control tools and working papers - Knowledge of...

  • Junior Tax Administrative Officer

    7 months ago

    Pretoria, South Africa BVSA Group Full time

    BVSA Chartered Accountants and Financial Services are seeking a highly motivated and detail-oriented individual to join our team as a Junior Tax Administrative Officer. This position will be based at our Pretoria office and will play a crucial role in ensuring the smooth operation of our tax-related processes. **Responsibilities**: Register clients for tax,...