Financial Compliance Specialist
1 month ago
Company Overview
The Recruitment Council is a leading recruitment agency specializing in finance and compliance roles.
Salary
We offer a competitive salary of $80,000 - $120,000 per annum, depending on experience.
Job Description
As a Category II Compliance Officer, you will be responsible for ensuring adherence to relevant legislative regulations and maintaining quality assurance in our client's offices. Your key responsibilities will include:
- Developing and maintaining a comprehensive compliance framework with relevant stakeholders.
- Identifying and investigating potential compliance breaches and areas of concern.
- Reviewing, registering, and resolving client complaints.
- Maintaining the key individual/representative register.
- Ensuring that all compliance records are accurate and up-to-date.
- Addressing and resolving Fit and Proper queries.
- Updating and maintaining compliance procedures and manuals.
- Conducting compliance audits at Adviser offices and reporting findings.
Required Skills and Qualifications
To be successful in this role, you will require:
- A relevant qualification such as BCom Law or equivalent.
- Registration as a FSCA Compliance Officer (CAT II).
- RE 1 and RE 3 certifications.
- At least 3-5 years of compliance experience in the financial services industry.
- In-depth knowledge of FICA, FAIS, and relevant legislation, regulations, and rules.
- Experience in corporate compliance and working with Financial Advisers/Planners.
- Proficiency in MS Office.
Benefits
We offer a dynamic and supportive work environment, with opportunities for career growth and development.
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