Compliance Officer

4 hours ago

Johannesburg North, South Africa Moving Heads Personnel Full time

Responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence.
- 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.
- Relevant qualification such as BCom 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.
- Relevant knowledge, skills and corporate compliance experience.
- Experience working with Financial Advisers / Financial Planners

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

Ability to commute/relocate:

- Johannesburg, Gauteng: Reliably commute or willing to relocate with an employer-provided relocation package (required)

**Education**:

- Bachelors (preferred)

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