Financial Compliance Specialist

1 month ago


Midrand, Gauteng, South Africa The Recruitment Council Full time

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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