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Assistant Compliance Officer: Collective Investment

2 weeks ago

Cape Town, South Africa Moving Heads Personnel Full time

**Assistant Compliance Officer**

**Cape Town**

Implement and enforce the organisation's or business units' compliance program, consults on an on-going basis with Operational Managers. Ensures conformance with applicable laws and regulations covering diverse fields. Performs statistical sampling and monitoring.
- Assist in monitoring compliance with applicable legislation and internal requirements with a specific focus on **Collective Investment Schemes** and compliance with CISCA and Regulation 28, Financial Intelligence Centre Act, Financial Advisory and Intermediary Services Act and POPIA.
- Review and comment on draft **Supplemental Deeds**:

- Monitor compliance with Supplemental Deeds, ASISA Mandates and relevant legislative requirements
- Assist with the compilation and submission of the quarterly and annual FSCA reporting relating to FAIS and CISCA
- Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
- Analyse and comment on draft legislation
- Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner
- Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of compliance breaches and other regulatory issues
- Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviour.
- Relevant tertiary qualification
- A minimum of 4 years’ experience in the **Collective Investment Schemes** environment and working experience with regards to the Collective Investments Control act and sub-ordinate legislation
- Certificate in Compliance Management would be an advantage
- Financial Advisory and Intermediary experience will be advantageous m14.4si

**Job Types**: Full-time, Permanent