Junior Compliance Officer

5 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

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