Compliance Officer

7 days ago

Johannesburg, South Africa PSG Konsult Full time

PSG is currently recruiting for a Category I Compliance Officer position. Reporting to the Head of Compliance: Distribution, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence.

**Responsibilities**:

- Compiling of compliance and statistical reports to the business, clients and regulators
- Ensure compliance implementation and maintenance of the compliance risk management and monitoring plan
- Monitoring of the primary legislation impacting the business
- Analyse, interpret and implement new legislation
- Review of all marketing material in accordance with Board Notice 92
- Address compliance queries from the business
- Managing compliance projects from start to finish
- Maintain FAIS compliance procedures and manuals
- Maintaining the key individual / representative register
- Monitoring and reporting on all FAIS matters to the business and the regulator

**Minimum requirements**:

- Relevant qualification such as B Com Law or LLB
- Must be a registered and FSCA Compliance Officer (CAT 1), preferably CAT II
- RE 1 Certificate
- 3 - 4 years compliance experience in the financial services industry
- Knowledge of FICA, FAIS and relevant legislation, regulations and rules
- Relevant knowledge, skills and corporate compliance experience
- Own transport and valid driver’s licence as travel component to Adviser offices
- Computer literate in MS Office

**Competencies required**:

- Interpersonal, communication and report writing skills
- Ability to work independently and as part of team
- Ability to operate in a high-performance environment at different levels
- Client relationship building skills.

**How to apply**:
Application Question(s):

- Are you a CAT I or CAT II registered officer with the FSCA?

**Experience**:

- compliance in a financial services environment: 3 years (required)

License/Certification:

- LLB or BCom Law Degree (required)
- RE 1 Certififcate (required)
- Drivers License and your own vehicle (required)

**Location**:

- Johannesburg, Gauteng (preferred)

Work Location: In person

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