Compliance Officer

2 weeks ago


Midrand, South Africa Rise Recruiting Agency Full time

Our client in the finance Space is looking for a Compliance Officer to join them in their Gauteng branch.

**Responsibilities**:

- Compiling of compliance and statistical reports to the business, clients and regulators
- Ensure compliance implementation and maintenance of compliance risk management and monitoring plan
- Monitoring of the primary legislation impacting the business
- Analyse, interpret and implement new legislation
- Address ad hoc compliance queries from the business
- Review of all marketing material in accordance with Board Notice 92
- Managing ad hoc compliance projects from start to finish
- Application of the TCF outcomes
- Maintain FAIS compliance procedures and manuals
- Maintaining the key individual / representative register
- Monitoring and reporting on all FAIS matters to the business and the regulator
- Monitoring AML compliance

**Minimum Requirements**:

- Relevant qualification (Law degree or relevant financial degree)
- 3 years’ relevant experience within financial services and/or collective investments schemes
- FAIS RE 1 will be advantageous
- Cat I FSCA registered Compliance Officer will be advantageous
- Knowledge of the following legislation: Collective Investment Schemes Control Act, Financial Advisory and Intermediary Services Act, Financial Intelligence Centre Act.
- Good general knowledge of the financial services industry
- ASISA codes and standards

Application Question(s):

- Do you have a relevant qualification (Law degree or relevant financial degree)?
- Do you have 3 years’ relevant experience within financial services and/or collective investments schemes?
- Do you have knowledge of the following legislation: Collective Investment Schemes Control Act, Financial Advisory and Intermediary Services Act, Financial Intelligence Centre Act?

ASISA codes and standards?
Good general knowledge of the financial services industry?


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