Compliance Officer

4 weeks ago

East London, South Africa The Recruiters Full time

**Title**:
**COMPLIANCE OFFICER (FINANCIAL ADVISORY)**:
**Salary**:

- R 500- 600k PA negotiable

**Description**:

- Our client is a full-service financial services Group that can offer solutions for the majority of the financial needs of its clients.
- They are looking to employ a Compliance Officer with relevant experience to assist the Head: Compliance, for their head office based in East London, to ensure that various companies within the Group of Companies comply with necessary legislation within the Financial Services industry as well as assisting with some company secretarial duties. This role would ideally be based in East London but may also be based in Gqeberha (Port Elizabeth).**Category**:

- Finance

**General Requirements**:

- Minimum Qualifications, Experience levels and Competencies:

- 1. Have a BCom Financial Planning or similar qualification - e.g. Advanced Certificate in Wealth Planning; CFP® designation OR be able to prove advanced knowledge of the full spectrum of the financial planning environment (investments, shares, endowments, risk cover, tax and estate duty etc) AND
- a. 2 years or more Compliance Department / function experience in the financial advisory or asset management fields. Experience with FAIS and FICA is essential (with experience in and knowledge of other related areas such as the JSE Equities Rules being advantageous) OR
- b. Be able to show a strong working knowledge (2 years + work experience) of FAIS, FICA and other relevant regulation in order to demonstrate a strong ability to learn and grow quickly within the Compliance Environment
- 2. A Compliance and Risk Certificate (or similar) will be advantageous;
- 3. Experience in or knowledge of company secretarial responsibilities and/or Companies Act would be advantageous, but not essential.
- 4. Very strong work ethic, prepared to get very involved in operational issues at all levels (i.e. Prepared to get hands dirty and work hard), very high level of initiative (and ability to judge when to make a decision and when to refer/get approval), have a track record of being able to make good decisions andwork relatively unsupervised but still be able to forge excellent working relationships with employees and management of various other business units.SKILLS:
- Highly detailed orientated
- Ability to work under pressure
- Report writing skills
- Interpretation of legislation ability
- Takes initiative
- Able to work with in a team and establish good relationships
- Excellent and proactive communication skill (both written and verbal)

Summary of Areas of Responsibility:
- Internal Compliance Officer Functions
- Ensuring that various companies within the Group of Companies (mainly financial sector) comply with necessary legislation (predominantly FAIS and FICA but knowledge of NCA and POPIA will be advantageous
- p Duties will entail:

- Onboarding of clients, conduct client risk rating reviews considering the information gathered during the Client Due Diligence process including research to establish if there is adverse media and such relating to clients and determining whether AML risk level of a client should be lowered or raised and escalate accordingly.
- Utilise external subscription databases to screen existing clients, their directors and shareholders (if applicable) in order to identify PEPs, influential persons, presence on Sanctions lists, criminal activity and adverse press. Escalate these issues where appropriate.
- Assist in maintaining the firm\'s PEP databases.
- Provide support and guidance to the Group and its subsidiaries with a focus on regulatory requirements, standards and best practice related to Compliance and relevant legislation and policy ;
- Assist the Head: Compliance with due diligence investigations if required;
- Conduct file monitoring to ensure appropriate levels of compliance and report accordingly;
- Assist with the review of FAIS documents;
- Collaborate with other departments to create a culture of compliance and compliance awareness;
- Ensuring overall business compliance between and across all units within the Group;
- Ensuring a strong working knowledge of the relevant legislation and relevant codes of conduct and directives;
- Ensuring a strong working knowledge of relevant Group policy and processes (particularly those related to performing the relevant functions)
- Giving appropriate input into improving compliance processes;
- Input into submission of various regulatory reports on behalf of Group companies as may be required;
- Helping conduct training of other staff as required by regulations and/or deemed appropriate in terms of need;
- Ensuring strong communication within the department and towards Group employees.
- Internal Compliance Officer Functions
- Assist the Group Company Secretary by ensuring that board and shareholder (as required) meetings are set, agendas are prepared 7+ days before meetings and that minutes are taken and distributed within 14 days of meeting

  • Compliance Officer

    2 weeks ago

    East London, Eastern Cape, South Africa The Recruiters Full time

    Title:COMPLIANCE OFFICER (FINANCIAL ADVISORY):Salary: R k PA negotiableDescription: Our client is a fullservice financial services Group that can offer solutions for the majority of the financial needs of its clients. They are looking to employ a Compliance Officer with relevant experience to assist the Head: Compliance, for their head office based in East...

  • Legal Compliance Officer

    2 weeks ago

    East London, Eastern Cape, South Africa beBee Professionals Full time

    beBee Professionals is looking for a Legal Compliance Officer to join our team in East London.The successful candidate will be responsible for ensuring that the company is compliant with all applicable laws and regulations. This includes researching and interpreting legal documents, providing advice on legal matters, and ensuring that the company is...

  • Compliance Officer

    3 weeks ago

    East London, South Africa Galaxy Bingo KWT (Pty) Ltd Full time

    _**Galaxy Bingo’s**_ passion is to create and bring a one-of-kind gaming experience, that appeals to all South Africans. Our Company values our employees by empowering and supporting employee growth and development by investing and allowing opportunities for advancement. As we are a service driven industry, our employees are to ensure the highest levels...

  • Secretary & Compliance Officer/Legal - East London SA

    2 weeks ago

    East London, Eastern Cape, South Africa Hire Resolve Full time

    Hire Resolve is currently recruiting for a dual role of Secretary & Compliance Officer/Legal to join our client's team in East London, EC, South Africa. In this role, you will provide administrative and compliance support to our organization and ensure adherence to legal and regulatory requirements.As a Secretary, you will be responsible for managing...

  • Secretary & Compliance Officer/Legal - East London SA

    3 weeks ago

    East London, South Africa Hire Resolve Full time

    Hire Resolve is currently recruiting for a dual role of Secretary & Compliance Officer/Legal to join our client's team in East London, EC, South Africa. In this role, you will provide administrative and compliance support to our organization and ensure adherence to legal and regulatory requirements.As a Secretary, you will be responsible for managing...

  • HR/ir Compliance Officer

    2 weeks ago

    East London, Eastern Cape, South Africa ANAX Logistics (Pty) Ltd Full time

    HR Manager duties and responsibilitiesThe HR Manager is responsible for all planning regarding the human resources and development of a company's workforce, and they must be able to transform all policies into executable plans and departmental procedures.Some of the daily responsibilities include: Manage all HR and IR policies and procedures Manage and...

  • Compliance Officer Manufacturing Industry

    1 week ago

    East Rand, South Africa McCarthy Consulting Full time

    Compliance Officer Manufacturing Industry - R35 000 CTC - Nigel Well established entity seeking applicant with the following: Bachelor’s Degree in Law, Business Management, or a related field 3 - 5 years’ proven experience in a Compliance Officer role within the Manufacturing Industry Good knowledge of Legal requirements and procedures Brilliant oral...

  • Legal and Compliance Officer

    4 weeks ago

    East Rand, South Africa Teraco Full time

    PURPOSE OF THE ROLE The purpose of the Officer is to oversee and assist with legal and compliance issues, including supplier compliance. Key objectives of this role include providing support to supplier and client contracting by owning and maintaining a database of Teraco’s contractual terms with suppliers and contractors ensuring client obligations are...

  • Compliance Officer Manufacturing Industry

    2 weeks ago

    East Rand, South Africa McCarthy Consulting Full time

    Compliance Officer Manufacturing Industry - R35 000 CTC - NigelWell established entity seeking applicant with the following:Bachelor's Degree in Law, Business Management, or a related field 5 years' proven experience in a Compliance Officer role within the Manufacturing IndustryGood knowledge of Legal requirements and proceduresBrilliant oral and written...

  • HR/ir Compliance Officer

    2 weeks ago

    East London, South Africa ANAX Logistics (Pty) Ltd Full time

    **HR Manager duties and responsibilities** The HR Manager is responsible for all planning regarding the human resources and development of a company’s workforce, and they must be able to transform all policies into executable plans and departmental procedures. Some of the daily responsibilities include: - Manage all HR and IR policies and procedures -...

  • Office Manager

    1 week ago

    East London, South Africa Profile Personnel Full time

    Well-established legal firm are looking to employ a dynamic applicant who will be responsible for overseeing the daily operations of an office and its various departments. **REQUIREMENTS** - 3-year qualification in Office Management or related - Computer literate - Must be fluent in English (able to speak, read and write competently) - Fluency in isiXhosa...

  • Smme Compliance Monitor

    1 week ago

    East London, South Africa Coega Development Corporation Full time

    The SMME Compliance Monitor is accountable to the SMME Technical Manager of the Coega Development Corporation (CDC) East London Office. - MANDATE - The SMME Compliance Monitor is mandated by the Board of Directors to take responsibility for the assistance in all procurement process and practices including but not limited to monitoring of procurement policy...

  • Office Manager

    2 weeks ago

    East London, Eastern Cape, South Africa Profile Personnel Full time

    Well-established legal firm are looking to employ a dynamic applicant who will be responsible for overseeing the daily operations of an office and its various departments.REQUIREMENTS 3year qualification in Office Management or related Computer literate Must be fluent in English (able to speak, read and write competently) Fluency in isiXhosa would be...

  • Sheq Officer

    3 weeks ago

    East London, South Africa Unique Personnel Full time

    **Job Number** - 70307 **Job Type** - Permanent **Job Title** - SHEQ Officer **Computer Skills** - Ms Office **Industry** - Courier **City** - East London **Province** - Eastern Cape **Duties & Responsibilities** - Administration of SHEQ Management System - Maintain near misses, VFL’s, incidents reports - Participate in RCI’s: - Accidents -...

  • Office Manager

    3 weeks ago

    East London, South Africa Foundation for Professional Development (FPD) Full time

    **Job Title : Office Manager Annual salary (based on relevant experience and qualifications) : R440,037 - R498,565 Location : East London Department : Research Unit Reporting to : Head of Department **Main purpose of the position**: To effectively manage all operations in FPD’s Research Unit (RU) in line with FPD policies, procedures, and strategic...

  • Porfolio Officer

    4 weeks ago

    East London, South Africa Staff Unlimited Recruitment Full time

    Our client is seeking a **Portfolio Officer** to join their team, based in East London. Minimum Requirements: - Diploma or Degree in Management - Paddocks UCT Sectional Title / HOA Management Course qualification - Registered with the EAAB holding a valid FFC advantageous - 3 Years’ experience in managing Sectional Title Schemes / HOA’s as well as...

  • HR Officer

    3 weeks ago

    East London, South Africa Abantu Staffing Solutions Full time

    **Overview**: The HR Officer plays a crucial role in supporting the Human Resources function. Responsible for various HR activities, including recruitment, employee relations, performance management, training and development, and compliance with labour laws and company policies. Works closely with the HR team and management to ensure the effective...

  • Porfolio Officer

    2 weeks ago

    East London, Eastern Cape, South Africa Staff Unlimited Recruitment Full time

    Our client is seeking a Portfolio Officer to join their team, based in East London.Minimum Requirements: Diploma or Degree in Management Paddocks UCT Sectional Title / HOA Management Course qualification Registered with the EAAB holding a valid FFC advantageous 3 Years' experience in managing Sectional Title Schemes / HOA's as well as complex management...

  • Sheq Officer

    2 weeks ago

    East London, Eastern Cape, South Africa Abantu Staffing Solutions Full time

    Responsibilities: The SHEQ Officer is responsible for reviewing, evaluating, and analysing work environments and designing programs and procedures to control, eliminate, and prevent disease or injury caused by chemical, physical, and biological agents or ergonomic factors. The SHEQ Officer may conduct inspections and enforce adherence to laws and regulations...

  • Risk Officer

    4 weeks ago

    East London, South Africa MPC Recruitment Full time

    Our client is seeking a **Risk Officer** to join their team, based in Mthatha. Successful candidate will proactively assist the National Risk Manager to manage risk within the company; as well as identify, evaluate, monitor, investigate and aid the National Risk Manager to improve controls within the business to mitigate and eliminate any potential risk...