Financial Services Compliance Manager

3 weeks ago


Midrand, Gauteng, South Africa The Recruitment Council Full time
Job Overview:

The Recruitment Council is seeking a highly skilled Financial Services Compliance Manager to join our team. As a key member of our compliance department, you will be responsible for 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.

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.

Requirements:
  • 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.

Compensation: R850,000 - R1,250,000 per annum, depending on experience.

About the Role:

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.



  • Midrand, Gauteng, South Africa CA Financial Appointments Full time

    A Financial Services Compliance Manager is required by CA Financial Appointments to oversee regulatory affairs and ensure compliance with financial regulations.Job DescriptionManage all regulatory developments and affairsEngage senior management to ensure internal processes align with regulatory requirementsAdvise on regulatory changes impacting business...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    Job SummaryWe are seeking a highly experienced Financial Services Compliance Manager to join our team at The Recruitment Council.Estimated Salary: $100,000 - $130,000 per annumKey ResponsibilitiesThe successful candidate will be responsible for:Leading Compliance TeamsDeveloping and Implementing Compliance StrategiesEnsuring Regulatory ComplianceMaintaining...


  • Midrand, Gauteng, South Africa Set Consulting Full time

    About the RoleWe are seeking a highly skilled Financial Services Manager to lead our regulatory affairs team at Set Consulting.The successful candidate will have a deep understanding of financial services regulations and a proven ability to manage complex projects. They will be responsible for developing and implementing strategies to ensure compliance with...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    We are seeking a highly skilled Regulatory Compliance Specialist to join our team at The Recruitment Council.About the RoleThis senior position will oversee compliance with financial regulations and industry guidelines, ensuring our organization's understanding and adherence to evolving standards. The ideal candidate will possess strong analytical,...


  • Midrand, Gauteng, South Africa Set Consulting Full time

    Role DescriptionThe Financial Services Director will lead our organisation's regulatory and compliance efforts, ensuring that we remain compliant with relevant financial regulations, laws, and industry guidelines.Main ResponsibilitiesDirecting the Public Policy & Regulatory Affairs team to capture and monitor regulatory trends and changes.Overseeing the...


  • Midrand, Gauteng, South Africa CA Financial Appointments Full time

    Job Title: Regulatory Affairs ManagerLocation: Midrand, Gauteng, South AfricaAbout the Role:We are seeking an experienced Regulatory Affairs Manager to join our team at CA Financial Appointments. As a key member of our financial services team, you will be responsible for ensuring the company's understanding and adherence to relevant financial regulations,...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    Job OverviewWe are seeking an experienced Strategic Regulatory Affairs Manager to join our team at The Recruitment Council.This role is responsible for overseeing compliance with financial regulations and industry guidelines, ensuring our organization remains up-to-date with evolving regulatory standards.Key responsibilities include:Monitoring regulatory...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    The Recruitment Council is seeking a highly skilled Regulatory Compliance Strategist to play a critical role in overseeing compliance with financial regulations and industry guidelines.About the RoleThis senior position reports directly to the Head of Public Policy and Regulatory and requires collaboration with legal, compliance, and risk teams to create...

  • Compliance Specialist

    3 weeks ago


    Midrand, Gauteng, South Africa The Recruitment Council Full time

    Job Description: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...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    Job OverviewThe Recruitment Council is seeking a highly skilled Regulatory Compliance Strategist to play a critical role in overseeing compliance with financial regulations and industry guidelines.About the RoleThis senior position reports to the Head of Public Policy and Regulatory, ensuring the organization's understanding and adherence to evolving...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    Job SummaryThe Recruitment Council seeks a seasoned Regulatory Affairs Director to oversee compliance with financial regulations and industry guidelines. As a strategic partner, you will collaborate with cross-functional teams to ensure the organization''''s understanding and adherence to evolving regulatory standards.Key ResponsibilitiesMonitor and...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    About the RoleThis is an exciting opportunity for a skilled Compliance Governance Officer to join our team at The Recruitment Council.Estimated Salary: $90,000 - $120,000 per annumKey ResponsibilitiesThe successful candidate will be responsible for:Ensuring Compliance with Regulatory RequirementsMaintaining Quality Assurance StandardsDeveloping and...


  • Midrand, Gauteng, South Africa Set Consulting Full time

    Job OverviewSet Consulting is a leading consulting firm in the financial services sector, and we are seeking an experienced Compliance and Policy Specialist to join our team.The successful candidate will have a strong background in regulatory affairs, with a proven track record of managing complex projects. They will be responsible for ensuring that our...


  • Midrand, Gauteng, South Africa CA Financial Appointments Full time

    CA Financial Appointments is seeking a highly skilled Regulatory Affairs Director to join their team in the financial services sector.Key ResponsibilitiesEnsure compliance with relevant financial regulations, laws, and industry guidelinesCollaborate with senior management to align internal processes with regulatory requirementsProvide strategic advice on...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    Job DescriptionWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at The Recruitment Council.Estimated Salary: $85,000 - $110,000 per annumResponsibilitiesThe successful candidate will be responsible for ensuring adherence to relevant legislative regulations and maintaining quality assurance in our offices. Key responsibilities...


  • Midrand, Gauteng, South Africa The Recruitment Council Full time

    Job DescriptionWe are seeking a highly skilled Category I Compliance Officer to join our team at The Recruitment Council in Midrand. This is an excellent opportunity for a motivated professional to take on a key position in our organization. The successful candidate will be responsible for developing and maintaining a robust compliance framework, identifying...


  • Midrand, Gauteng, South Africa Set Consulting Full time

    About the RoleThe Compliance Officer Lead will play a crucial role in managing regulatory and compliance developments and affairs for our organisation. This includes ensuring the company's understanding and adherence to relevant financial regulations, laws, and industry guidelines.ResponsibilitiesLeading the Public Policy & Regulatory Affairs team to capture...


  • Midrand, Gauteng, South Africa Network Recruitment Full time

    Job OverviewThis pivotal role requires a proactive individual with a strong understanding of financial operations, compliance, and management reporting. Located in Midrand, this 6-month maternity contract offers a unique opportunity to make a significant impact on the company's financial health.Key Responsibilities:Management Accounts & Reporting: Assist in...


  • Midrand, Gauteng, South Africa CA Financial Appointments Full time

    CA Financial Appointments seeks a Head of Regulatory Policy to lead their regulatory affairs team and ensure compliance with financial regulations.Key ResponsibilitiesDevelop and implement regulatory policies and proceduresCollaborate with senior management to align internal processes with regulatory requirementsProvide strategic advice on regulatory changes...


  • Midrand, Gauteng, South Africa Network Recruitment Full time

    Job Title: Financial Risk ManagerAbout the Role:Network Recruitment is seeking a highly skilled Financial Risk Manager to join our team. The successful candidate will be responsible for managing and mitigating financial risks, ensuring robust financial health and compliance across our organization.This is a fantastic opportunity for an experienced...