Fais Compliance Officer

A local Investment Company is seeking a FICA and FAIS Compliance Officer to join their Fund Due Diligence Team. This company is a small, yet well-established firm located in the Northern Suburbs of Cape Town. This position is well suited to someone with high energy levels, independence, and with a sincere enthusiasm for compliance. **Qualifications &...

Greenpoint **SKILLS**: - Excellent interpersonal skills. - Exceptional verbal and written communication skills. - Strong relationship management (internal & external). - Good organisational skills. - Exceptional attention to detail. - Able to work under pressure, independently and as part of a team. - Personal accountability. - Strong decision maker. -...

Our client, an Investment Consultant Company, is looking for a **Junior Legal and Compliance Officer **to join their team in the **Plattekloof, **Cape Town, area. To assist the Head of Governance, Governance Team and External Compliance Officer with group governance risk and compliance. **Areas of Responsibility**: **Compliance**: - Expert knowledge of...

Our client, an Investment Consultant Company, is looking for a **Senior Legal and Compliance Officer** to join their team in the **Plattekloof, **Cape Town, area. To assist the Head of Governance, Governance Team and External Compliance Officer with group governance risk and compliance. **Areas of Responsibility**: **Compliance**: - Expert knowledge and...

**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...

**Junior 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. DUTIES AND RESPONSIBILITIES: - Assist the Compliance Officer in embedding a culture of compliance - Assist in the development of risk-based Monitoring Plans - Take ownership of...

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...

This role, based in Cape Town, is to assist the Head of Governance, Governance Team and External Compliance Officer with group governance risk and compliance. **Compliance** - Expert knowledge and in-depth understanding of CISCA and all the regulations - Good understanding of FAIS, FICA and POPIA - Good understanding of FX - Assist in implementing and...

Junior Compliance Officer with Legal/Compliance Degree and minimum 2 years’ compliance experience in the Financial Services and/or Collective Investment Scheme industry, required for this Asset Management Company based in Constantia, Cape Town. **Minimum requirements**: - Relevant qualification - B.Comm Law or equivalent - Minimum 2 years’ experience...

Exceptional opportunity for a Compliance Officer with relevant financial services experience to join a stockbroking team. Role is responsible for all compliance legislation for their team including JSE. Ideal candidates will have completed their RPE and JSE exams, or be willing to complete these. Role reports to the Chief Operating Officer.Responsibilities:...

**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...

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 -...

_At Masthead, our passion is keeping businesses in business. As a national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs), we know this can only be achieved through the calibre of people we employ - people who are client focused, set themselves high standards of delivery and have a...

**Primary Duties** - Reviewing legislation - Minimizing and managing risk - Process and Procedure comparison - Identifying process and procedural gaps - Conducting various audits throughout the business. - Conducting internal investigations throughout the business units. - Provide the Internal Compliance Officer with support with managing Regulatory request...

**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...

A top Investment house has a vacancy for an experienced Compliance professional with a strong regulatory focus to assist with Investment Regulatory Compliance through the implementation and maintenance of a suitable regulatory compliance strategy and programme, and by ensuring an appropriate culture of compliance. **Key Functions**: - Establishes and...

**Client Details**: Our client is a premier provider of wealth management services, dedicated to empowering their customers to build an investment portfolio that aligns with their financial aspirations. Utilising cutting-edge technology, they offer direct investment opportunities through their user-friendly online platform. Their team of experts is committed...

An established, and well rated investment manager is looking to fill a key role in their Corporate Governance team, this being a Compliance Officer. This is a Cape Town based opportunity. This is a key role supporting the Regulatory Compliance Manager through implementation and maintenance of the compliance strategy, and ensuring an appropriate culture of...

Exceptional opportunity for a Compliance Officer with relevant financial services experience to join a stockbroking team. Role is responsible for all compliance legislation for their team including JSE. Ideal candidates will have completed their RPE and JSE exams, or be willing to complete these. Role reports to the Chief Operating Officer. Responsibilities:...

**Compliance** - Expert knowledge and in-depth understanding of CISCA and all the regulations - Good understanding of FAIS, FICA and POPIA - Good understanding of FX - Assist in implementing and maintaining Policies - Assist with mandate compliance and mandate monitoring - Analysis and implementation of regulatory changes - Assist in the implementation of...