Regulatory Compliance Specialist
18 hours ago
We are seeking a highly skilled Regulatory Compliance Specialist to join our team at The Recruitment Council.
- Estimated Salary: $85,000 - $110,000 per annum
The successful candidate will be responsible for ensuring adherence to relevant legislative regulations and maintaining quality assurance in our offices. Key responsibilities include:
- Developing and Maintaining Compliance Frameworks
- Investigating Potential Compliance Breaches
- Resolving Client Complaints
- Maintaining Compliance Records
- Conducting Compliance Audits
To be successful in this role, you will need:
- A relevant qualification such as BCom Law or equivalent
- Registered FSCA Compliance Officer (CAT II) certification
- RE 1 and RE 3 certifications
- A minimum of 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
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