Senior Compliance Officer

3 days ago


Durban, KwaZulu-Natal, South Africa AGC Recruitment Pty Ltd Full time
Senior Compliance Specialist

Are you a seasoned compliance professional with a keen eye for detail and a passion for regulatory excellence? Our client, a leading financial services organization, is seeking a Senior Compliance Specialist to join their team. In this pivotal role, you will be responsible for implementing robust procedures to ensure the organization adheres to all relevant regulations and legislation.

Key Responsibilities
  • Monitor and ensure FAIS compliance across the organization, communicating relevant changes to the FSCA as necessary.
  • Maintain up-to-date compliance records.
  • Support the development of the Group Compliance Function.
  • Participate in the drafting and implementation of compliance frameworks, policies, manuals, and technical guidelines.
  • Assist with the implementation of processes around statutory registrations with regulatory bodies, drafting business and compliance process descriptions for regulatory registrations, recordkeeping, and changes in relation to registrations or updating regulatory bodies.
  • Ensure CPD requirements are met, update the Fit & Proper Competence register, and attend to queries, update the Central Representative Register, and handle changes of profiles with the FSCA, conduct monthly call audits in respect of the CCC representatives.
  • Coordinate and schedule required compliance training for staff.
Requirements
  • Relevant 3-4 years qualification in Legal or Finance.
  • LLB plus a relevant Compliance Management Certificate and/or Certification.
  • RE1 and RE5 will be an advantage.
  • 5 to 7 years' experience in a legal or insurance environment.
  • Strong knowledge of regulatory compliance guidelines and standards within a financial services sector.
Salary

R50 000 per month

Brought to you by AGC Legal Recruitment



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