Regulatory Compliance Specialist

3 weeks ago


Midrand, Gauteng, South Africa The Recruitment Council Full time

The Recruitment Council is looking for a Regulatory Compliance Specialist to enhance their compliance team. This position is pivotal in ensuring adherence to legislative standards and maintaining quality assurance across various operational sectors, including long-term and short-term insurance, collective investments, and stockbroking.


Key Responsibilities:

  • Establish and uphold a comprehensive compliance framework in collaboration with relevant parties.
  • Detect and examine potential compliance violations and areas of risk.
  • Assess, document, and address client grievances.
  • Maintain an updated register of key individuals and representatives.
  • Ensure that all compliance documentation is accurate and up-to-date.
  • Resolve inquiries related to Fit and Proper standards.
  • Revise and sustain compliance protocols and manuals.
  • Perform compliance audits at advisory offices and communicate the results.

Qualifications and Experience:

  • Relevant degree such as BCom Law or LLB.
  • Registered FSCA Compliance Officer (Category I).
  • RE 1 Certification.
  • 1 to 3 years of experience in compliance within the financial services sector.
  • In-depth knowledge of FICA, FAIS, and applicable legislation, regulations, and guidelines.
  • Experience in corporate compliance and collaboration with Financial Advisers/Planners.
  • Proficient in MS Office applications.

Skills and Competencies:

  • Exceptional interpersonal, communication, and report writing abilities.
  • Capacity to work autonomously as well as collaboratively within a team.
  • Adept at thriving in a high-performance environment across various levels.
  • Outstanding skills in building client relationships.


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