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Compliance Officer

2 months ago

Cape Town, Western Cape, South Africa CA Financial Appointments Full time
Compliance Officer Job Description

CA Financial Appointments is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring our client's financial services provider adheres to regulatory requirements and maintains a strong compliance culture.

Key Responsibilities:
  • Compliance Monitoring: Conduct regular compliance monitoring at branches throughout the country to ensure adherence to regulatory requirements.
  • Compliance Risk Management: Assist in overseeing and maintaining the compliance risk management plans and regulatory universe.
  • Compliance Reporting: Analyze data and provide written compliance reports to management of the applicable business area.
  • Relationship Building: Establish and maintain relationships with each business area, line management of the business area, and other complimentary departments and divisions.
Requirements:
  • Qualifications: LLB / 4 Year Law / Commerce / Finance degree or equivalent recognized by the FSCA for Compliance Officers.
  • Experience: Minimum of 2-3 years' experience in a legal, compliance, audit, or financial services environment.
  • Regulatory Examinations: RE1 (non-negotiable) and/or RE5.
  • Industry Knowledge: Working knowledge of the financial services industry and legislation (FAIS, FICA, Insurance Act, Long-Term Insurance Act, FSRA etc).

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