Compliance Officer

1 week ago

Cape Town, South Africa Talent Match Consulting Full time

A leading financial services company is currently recruiting for a Category II Compliance Officer position.

Reporting to the Head: Compliance - Distribution, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser offices (long
- and short-term assurance, collective investments and stockbroking).

**Responsibilities**:

- Maintain a compliance framework in collaboration with the relevant stakeholders
- Identify potential compliance breaches and investigate compliance irregularities or areas of concern
- Review, register and resolve complaints received from clients
- Maintain the key individual / representative register
- Ensure compliance records are up to date
- Review and resolve Fit and Proper queries
- Maintain the compliance procedures and manuals
- Conduct and report on compliance audits at Adviser offices

Minimum requirements:

- Relevant qualification such as B Com Law or equivalent
- Must be a registered and FSCA Compliance Officer In the possession of all appropriate SAIFM Compliance certification
- Knowledge of FICA, FAIS and relevant legislation, regulations and rules
- 5 years+ relevant knowledge, skills and corporate compliance experience
- Relevant experience working with Financial Advisers / Financial Planners

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.

**Salary**: R600,000.00 - R800,000.00 per year

Ability to commute/relocate:

- Cape Town, Western Cape: Reliably commute or planning to relocate before starting work (required)

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