Compliance and Risk Manager
4 days ago
CA Financial Appointments is seeking a qualified Compliance and Governance Advisor to provide support in implementing risk and compliance policies and procedures. This role involves ensuring the organization's compliance with internal and external statutory requirements.
Main Responsibilities:
- Prepare and submit compliance reports as needed.
- Analyze proposed legislative changes to inform recommendations.
- Monitor current legislative changes and update policies and procedures.
- Collaborate in process documentation and training initiatives.
- Evaluate system modifications to ensure regulatory compliance.
- Coordinate FSP license updates as necessary.
- Regularly review client-related documents (FAIS and FICA) to ensure compliance.
- Oversee client onboarding and provide technical assistance to operational teams.
Necessary Requirements:
- A degree in a relevant field, such as accounting or risk management, is mandatory.
- Professional certifications like accounting or auditing articles are necessary.
- Desirable: prior experience in compliance roles with a proven track record.
- The ideal candidate should be organized, accurate, and deadline-driven.
If you haven't received a response within two weeks, please consider your application unsuccessful for this specific position. We welcome you to follow our job postings and apply for suitable openings.
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