Compliance Officer

4 weeks 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 because_**

**_
WE’RE HIRING_**

**_
- **

**_It’s our mission to unleash the potential in our team, and we know that teams perform best when they are diverse and each individual feels that they belong. That’s why we want you to join us in the capacity of Compliance Officer. This role plays an integral part in our team, as you will be the custodian of Company compliance and form an integral part of ensuring risk is mitigated within the Financial Services Provider space._**

**_What can we offer you? Some of our benefits include:_**
- Modern fit-for-purpose people practices.
- Working in a state-of-the-art tech building that includes access to on-site gym to help you grow your fitness as much as you do your brain.
- Two on-site restaurants that will have you inhaling aromas of mouth-watering lunchtime dishes, and freshly brewed coffee. At Fintech campus that’s just a part of the rhythm of the day.

**Great, so who is a good fit?**

**So what will such a fantastic individual’s duties and responsibilities include?**
- Responsible for implementing and enforcing the Business’ compliance programmes;
- Maintain awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements;
- Consult on an on-going basis with Operational managers to ensure conformance with applicable laws and regulations;
- Manage, oversee and monitor Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, licence conditions and annual levies;
- Perform statistical sampling and monitoring;
- Maintain register of representatives and informs Registrar of any changes;
- Responsible for the control of the Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) regulations;
- Analyse received documents and interact with the Office Manager to advise if received documents are acceptable;
- Ensure compliance with and oversight of, ongoing statutory regulatory requirements;
- Responsibility includes monitoring and validation of investor files, technical and documentary support to investor teams, updating of operational procedures and participation in compliance committees;
- Develop, initiate, maintain and revise policies and procedures for the general operation of regulatory compliance;
- Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future;
- Provide Compliance reports to Management so as to mitigate risk and assess success;
- Ensure effective risk management and internal control for area of responsibility.

**Are there any specific skills and attributes required?**
- **Trustworthiness** and **conscientiousness** by taking responsibility for personal performance;
- **Loyalty** toward the organisation;
- **Commitment** by aligning with organisational goals;
- Ability to apply** assertiveness;**:

- **Attention **to** detail**;
- **Controlled decision-making** process;
- **Confidentiality** and **time management** / **prioritising**;
- **Planning** and **scheduling** workability to manage projects and processes;
- **Listening** and **organising** ability to understand, organise, analyse and respond appropriately;
- **Flexibility** relating to work dealings, assist when required even if it’s not in your job description;
- Enthusiasm for **learning **and** self-improvement**;
- Be able to **work accurately and effectively** in a highly pressurised environment;
- Unrivalled **analytic** ability;
- **Accountability** and a **team player**.

**Take a look at the what the requirements for this amazing job are and if you meet them apply, apply, apply**:

- Computer literate with knowledge in Excel, Word and MS Suite;
- Completed Senior Certificate (Matric);
- Meeting the competence, qualifications and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority would be advantageous;
- 3-6 years’ experience as a Compliance Officer in the Financial Services Industry;
- A thorough understanding and knowledge of compliance risk management and monitoring programmes;
- A thorough understanding and knowledge of the regulatory requirements impacting on the various businesses (e.g. FAIS, FICA, LTIA, PPR, POPIA);
- Degree in Compliance / Legal or a similar field;
- Ability to communicate appropriately and effectively in spoken and written English and Afrikaans;
- Be able to work long hours w


  • IT Compliance Officer

    4 weeks ago


    Pretoria, South Africa Total IT Recruitment Full time

    Leading blue-chip company is looking for an IT Compliance Officer who will be responsible for developing, administering and monitoring the Information Security, Business Continuity and IT Quality Compliance Management Program at the company. This position plans, organizes, and controls the company’s day-to-day Information Security, Business Continuity and...

  • Compliance Officer

    2 days ago


    Pretoria, Gauteng, South Africa Trio Recruitment (Pty) LTD Full time

    Job DescriptionWe are seeking a Compliance Officer to join our team at Trio Recruitment (Pty) LTD. The successful candidate will be responsible for developing and implementing compliance policies, procedures, and controls in accordance with relevant laws and regulations.About the RoleThis is an exciting opportunity for a Regulatory Specialist to work closely...

  • Compliance Officer

    2 weeks ago


    Pretoria, South Africa Pillango Placements Full time

    We are looking for a detail-oriented Compliance Officer to support compliance functions across multiple affiliated companies in the financial services sector. This role is ideal for a law graduate eager to build a career in compliance, regulatory adherence, and risk management.Key Responsibilities:Assist in ensuring compliance with relevant legislation,...

  • Compliance Officer

    3 weeks 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...


  • 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...


  • Pretoria, Gauteng, South Africa Findojobs South Africa Full time

    Job Description As a key member of our team, the Compliance Officer will play a critical role in ensuring that our business practices and operations align with regulatory requirements. The ideal candidate will have a strong understanding of compliance regulations and laws, as well as excellent analytical and communication skills. They will be responsible...


  • 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,...


  • 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...


  • Pretoria, Gauteng, South Africa S.A. Bank Note Company (Pty) Ltd. Full time

    Corporate Compliance Officer Job Summary: We are seeking a highly skilled and experienced Corporate Compliance Officer to join our team. The successful candidate will be responsible for ensuring the integrity of the company's operations and protecting its stakeholders' interests. Main Responsibilities include:To maintain an operational risk and compliance...


  • Pretoria, Gauteng, South Africa Pansalb Full time

    Job Description:We are seeking a highly skilled and experienced Occupational Health and Compliance Officer to join our team. The successful candidate will be responsible for monitoring workplace activities, ensuring compliance with health and safety policies, and advising the organization on all aspects concerning health and safety matters.


  • Pretoria, Gauteng, South Africa Hertex Full time

    General Compliance OfficerWe are seeking an experienced General Compliance Officer to join our team at Hertex. The successful candidate will be responsible for ensuring that all showroom operations comply with company policies and procedures, including:Implementing and supporting stock control procedures.Ensuring all stock management policies and procedures...


  • Pretoria, Gauteng, South Africa Aquarius Specialist Recruitment Full time

    At Aquarius Specialist Recruitment, we are seeking an exceptional AML Compliance Officer to join our team. As an AML Compliance Officer, you will play a critical role in ensuring the effective implementation of our Anti-Money Laundering (AML) and Counter-Financing of Terrorism (CFT) policies.Key Responsibilities:Develop and maintain robust AML/CFT procedures...


  • Pretoria, Gauteng, South Africa Financial Intelligence Centre (FIC Full time

    Key ResponsibilitiesAs a Graduate Compliance Officer, you will assist in ensuring that all financial transactions comply with relevant laws and regulations. This includes conducting research on FIC Act compliance and ML/TF/PF risk-related matters, drafting reports and recommendations, and providing guidance to stakeholders on FIC Act compliance.You will also...


  • Pretoria, Gauteng, South Africa Findojobs South Africa Full time

    Findojobs South Africa is seeking a Regulatory Compliance Officer to assist in managing legal documentation and ensuring regulatory compliance. This is an exciting opportunity for a detail-oriented individual who is passionate about corporate governance.About the Role:Manage and maintain accurate corporate records, statutory books, and legal...


  • Pretoria, Gauteng, South Africa Findojobs South Africa Full time

    Job DetailsAbout the CompanyFindojobs South Africa is a leading provider of job opportunities. We are committed to excellence and innovation in everything we do.The RoleWe are seeking a highly skilled Corporate Compliance Officer to join our team. The successful candidate will be responsible for managing regulatory risks and ensuring compliance with all...


  • Pretoria, South Africa Dante Personnel Full time

    Gauteng, Pretoria East Well established Law Firm in Pretoria East is looking for a Compliance Officer to join their team **Minimum requirements**: - LLB - 2 - 3 years relevant experience in the compliance & risk management field - In-depth knowledge of industry standards, rules and regulations is greatly preferred - Excellent Compliance & Risk Management...

  • Compliance Officer

    7 days ago


    Pretoria, Gauteng, South Africa Findojobs South Africa Full time

    Job Summary:We are seeking a highly skilled Compliance Officer to join our team at Findojobs South Africa. As a key member of our organization, you will be responsible for ensuring that we comply with all relevant laws and regulations.Main Responsibilities:Conduct regular compliance audits and reviews.Identify and report potential compliance issues to senior...


  • Pretoria, South Africa Dante Personnel Full time

    Gauteng, Pretoria East - R 35000 - R 40000 Monthly Cost To Company Debt Collections Giant looking for a meticulous Legal and Compliance Officer. Based in Pretoria East **Minimum requirements**: - Legal Tertiary Qualification (LLB, BProc) necessary - 3+ Years Experience in Legal and Compliance within the Financial Services Industry a requirement - Exposure...


  • Pretoria, South Africa HSRC Recruitment Full time

    **Job Advert Summary**: **Audit and Compliance Support Officer** **Ref no: ACSO 01** **X1 Position** **Permanent Appointment** The office of the Chief Financial Officer (CFO) consists of three units namely Finance, Enterprise Risk Management (ERM), and Supply Chain Management (SCM). The PFMA prescribes that the Board for a public organisation must ensure...


  • Pretoria, South Africa Smith Garb & Associates Full time

    Requirements:Degree in accounting or internal auditingAt least 3 years experience in auditingUnderstanding and working knowledge of project managementGood organisational skills and understanding of financial monitoring and administration and accounting systemsExperience in developing internal control tools and working papersKnowledge of general accounting...