Compliance Officer

4 weeks ago


Midrand, Gauteng, South Africa The Recruitment Council Full time
Compliance Officer - Regulatory Expert

The Recruitment Council is seeking a seasoned Compliance Officer to lead our regulatory efforts. As a key member of our team, you will be responsible for ensuring adherence to relevant legislative regulations and maintaining quality assurance in our offices.

  • 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:

  • Relevant qualification such as BCom Law or equivalent.
  • Registered FSCA Compliance Officer (CAT II).
  • RE 1 and RE 3 certifications.
  • 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.

Skills and Competencies:

  • Strong interpersonal, communication, and report writing skills.
  • Ability to work independently and as part of a team.
  • Capable of operating in a high-performance environment at various levels.
  • Excellent client relationship-building skills.

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