Compliance Officer
4 days ago
At The Recruitment Council, we are seeking a seasoned Category II Compliance Officer to join our team. This critical position reports directly to the Head of Compliance – Distribution and involves ensuring strict adherence to relevant legislative regulations while maintaining quality assurance across our offices.
Key Responsibilities:
- Develop and maintain a comprehensive compliance framework with stakeholders.
- Identify and investigate potential compliance breaches and areas of concern.
- Review, register, and resolve client complaints.
- Maintain the key individual/representative register.
- Ensure all compliance records are accurate and up-to-date.
- Address Fit and Proper queries.
- Update and maintain compliance procedures and manuals.
- Conduct compliance audits at Adviser offices and report findings.
Qualifications and Experience:
- Relevant qualification such as BCom Law or equivalent.
- Registered FSCA Compliance Officer (CAT II).
- RE 1 and RE 3 certifications.
- 3 – 5 years of compliance experience in the financial services industry.
- In-depth knowledge of FICA, FAIS, and relevant legislation.
- Experience in corporate compliance and working with Financial Advisers/Planners.
- Proficiency in MS Office.
Skills and Competencies:
- Strong interpersonal, communication, and report writing skills.
- Ability to work independently and as part of a team.
- Capable of operating in a high-performance environment at various levels.
- Excellent client relationship-building skills.
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