Compliance Officer

1 month ago

Cape Town, South Africa Jobted ZA C2 Full time

Overview

Hire Resolve is seeking a skilled and experienced Compliance Officer to join our client, a leading global financial services company. This is an exciting opportunity for a compliance professional to play a critical role in ensuring regulatory adherence and fostering a strong culture of compliance within a dynamic and fast-paced organization. The successful candidate will collaborate with stakeholders to implement compliance strategies, manage risk, and uphold the highest standards of integrity across the business.

Responsibilities

- Maintain critical compliance registers, such as those for representatives and breaches.

- Offer guidance on the interpretation and application of laws and regulations.
- Assist in integrating systems like CURA into compliance operations.
- Conduct compliance reviews in alignment with the Compliance Monitoring Plan using structured sampling methods.
- Create and maintain Compliance Risk Management Plans (CRMPs) tailored to legislative requirements and organizational standards.
- Familiarity with additional legislation, including the Financial Markets Act and JSE Membership Rules, is a plus.
- Support the execution of the Compliance Programme, including adherence to the Compliance Framework, Compliance Plan, and Monitoring Plan.
- Develop and sustain a strong culture of compliance throughout the organization.
- Provide specialized knowledge in key legislation affecting asset management, such as the Financial Advisory and Intermediary Services Act (FAIS) and related Codes of Conduct for Cat 2 and Cat 2A FSPs, Financial Intelligence Centre Act (FICA), and Protection of Personal Information Act (POPIA).
- Compile comprehensive compliance reports, including those for Board and regulatory submissions.
- Lead investigations into compliance breaches and prepare detailed reports for resolution and remediation.
- Design and deliver compliance training sessions through appropriate channels, such as in-person workshops or online platforms.

- Draft and update Compliance Policies and Standard Operating Procedures (SOPs).

Requirements

- Work effectively with team members and build strong partnerships across the business.

- Manage and resolve issues in a constructive and effective manner.
- Ensure controls and processes meet all regulatory standards.
- FSCA registration or supervision as a FAIS Cat 2 and/or Cat 2A Compliance Officer is advantageous.
- Identify opportunities for enhancing compliance processes.
- Skilled in Microsoft Excel, Word, and PowerPoint.
- Experience in executing compliance strategies and monitoring activities under guidance.
- Deliver clear and concise compliance-related information to stakeholders.
- A minimum of 5–7 years of relevant experience, ideally within the asset management industry.
- Knowledge of tools like CURA, SharePoint, and CRM systems is beneficial.
- Ability to interpret, apply, and integrate regulatory requirements into organizational processes.
- A bachelor’s degree in law, risk management, commerce, or auditing. Professional qualifications in compliance (e.g., CPrac, CProf) are highly regarded.

- Work efficiently under pressure while balancing multiple deadlines.

Benefits

- Salary: Negotiable

Contact Hire Resolve for your next career-changing move today

- Apply for this role today, contact Gustav Vogel at Hire Resolve or on LinkedIn
- You can also visit the Hire Resolve website: hireresolve.us or email us your CV: gustav.vogel@hireresolve.us
- Please use “Financial Accountant” as your subject line when applying via email

We will contact you telephonically in 3 days should you be suitable for this vacancy. If you are not suitable, we will put your CV on file and contact you regarding any future vacancies that arise.

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