Compliance Specialist
3 weeks ago
The Recruitment Council is seeking a highly skilled Compliance Specialist to join our team. This position reports to the Head of Compliance and involves ensuring adherence to relevant legislative regulations and maintaining quality assurance in our clients' offices, covering long-term and short-term assurance, collective investments, and stockbroking.
Key Responsibilities:
- Develop and maintain a comprehensive compliance framework with relevant stakeholders.
- Identify and investigate potential compliance breaches and areas of concern.
- Review, register, and resolve client complaints.
- Maintain the key individual/representative register.
- Ensure that all compliance records are accurate and up-to-date.
- Address and resolve Fit and Proper queries.
- Update and maintain compliance procedures and manuals.
- Conduct compliance audits at Adviser offices and report findings.
Qualifications and Experience:
- A relevant qualification such as BCom Law or equivalent.
- Registered FSCA Compliance Officer (CAT II).
- RE 1 and RE 3 certifications.
- At least 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.
- Proficiency in MS Office.
Salary: R800,000 - R1,200,000 per annum, depending on experience.
About The Job:
This role requires a strong understanding of regulatory requirements and the ability to maintain high-quality compliance standards. If you have a passion for compliance and want to work for a reputable organization, this could be the perfect opportunity for you.
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