Financial Services Compliance Professional

3 days ago


Midrand, Gauteng, South Africa The Recruitment Council Full time

Our client, a reputable company in the financial sector, is seeking an experienced Category I Compliance Officer to join their team in Midrand. Reporting directly to the Head of Compliance Distribution, this role entails implementing relevant legislative regulations and ensuring quality assurance and compliance within the client's offices, which include long-term and short-term investments, collective investments, and stockbroking.

Key Responsibilities:
  • Develop and maintain a robust compliance framework in partnership with key stakeholders, ensuring seamless integration with existing processes.
  • Identify, investigate, and address potential compliance breaches and areas of concern, upholding the highest standards of regulatory adherence.
  • Review, register, and resolve client complaints efficiently, maintaining strong relationships with clients and internal teams.
  • Ensure the accuracy and currency of all compliance records, leveraging technology to streamline data management.
  • Address and resolve Fit and Proper queries, providing expert guidance to stakeholders.
  • Update and maintain comprehensive compliance procedures and manuals, fostering a culture of excellence.
  • Conduct regular compliance audits at Adviser offices, analyzing findings and implementing corrective actions.
Qualifications and Experience:
  • A relevant qualification such as BCom Law or LLB, demonstrating a strong foundation in legal principles.
  • Registration as a FSCA Compliance Officer (CAT I), showcasing expertise in regulatory compliance.
  • A RE 1 Certificate, highlighting proficiency in regulatory requirements.
  • A minimum of 3 years of experience in compliance roles within the financial services industry, with a deep understanding of FICA, FAIS, and relevant legislation.
  • Experience in corporate compliance, working closely with Financial Advisers/Planners to drive business growth.
  • Proficiency in MS Office, leveraging tools to enhance productivity and efficiency.
Compensation:

An attractive salary of R500,000 per annum, commensurate with experience, will be offered to the successful candidate. This competitive compensation package reflects the importance of this role in driving compliance excellence within the organization.

About Us:

The Recruitment Council is a leading recruitment agency specializing in placing top talent in the financial sector. With a proven track record of success, we pride ourselves on delivering exceptional service to our clients and candidates alike.



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