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Compliance Officer CAT II

7 days ago

Midrand, Gauteng, South Africa The Recruitment Council Full time
Our client is seeking a Category II Compliance Officer to join their team. This position reports to the Head of Compliance – Distribution and involves ensuring adherence to relevant legislative regulations and maintaining quality assurance in the client's offices, which cover long-term and short-term assurance, collective investments, and stockbroking.

Key Responsibilities:

1. Develop and maintain a comprehensive compliance framework with relevant stakeholders.
2. Identify and investigate potential compliance breaches and areas of concern.
3. Review, register, and resolve client complaints.
4. Maintain the key individual/representative register.
5. Ensure that all compliance records are accurate and up-to-date.
6. Address and resolve Fit and Proper queries.
7. Update and maintain compliance procedures and manuals.
8. Conduct compliance audits at Adviser offices and report findings.

Qualifications and Experience:

1. Relevant qualification such as BCom Law or equivalent.
2. Registered FSCA Compliance Officer (CAT II).
3. RE 1 and RE 3 certifications.
4. 3 – 5 years of compliance experience in the financial services industry.
5. In-depth knowledge of FICA, FAIS, and relevant legislation, regulations, and rules.
6. Experience in corporate compliance and working with Financial Advisers/Planners.
7. Proficiency in MS Office.

Skills and Competencies:

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

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