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Compliance Officer

3 weeks ago

Cape Town, South Africa Tracking Talent Full time

A local Investment Company is seeking a FICA and FAIS Compliance Officer to join their Fund Due Diligence Team. This company is a small, yet well-established firm located in the Northern Suburbs of Cape Town. This position is well suited to someone with high energy levels, independence, and with a sincere enthusiasm for compliance.

**Qualifications & Experience**:

- Relevant Degree or Diploma
- 3-5 years of Compliance Experience
- Financial Services experience with specific relation to FAIS, FICA, AML, etc.
- RE exams 1, 3 & 5
- CAT 1 and CAT 2 - using it for more than 3 to 5 years

**Duties & Responsibilities**:

- Compliance risk management design and implementation
- Assisting in the design and implementation of relevant compliance frameworks and policies
- Monitoring and Implementation of changes in the Regulatory Universe
- Identifying and implementing changes in regulatory requirements
- Updating of policies and procedures to align with changes in the regulatory universe
- Addressing areas of concern & providing solutions to the board of directors
- Compliance monitoring - across all relevant FAIS & FICA policies & procedures
- Mandate monitoring and control. Implementing appropriate monitoring schedules
- Monitoring compliance with applicable regulatory requirements relevant to the FSP and the services it offers
- Compliance monitoring across the FSP & alongside the external appointed Compliance Officer
- Fit and Proper monitoring of FSP’s representatives & key individuals
- PI Cover annual submission
- Compliance risk management plan development processes
- Facilitate & conduct regular reviews of compliance policies and procedures
- Provide input for the development of compliance risk management plans with the board of directors and implement these changes
- Compliance Reporting
- Internal completion of FSP Forms for changes to the FSP license (Rep Changes, Directors, Shareholder, Scope of license etc.)
- Fit and Proper Declaration Reporting
- Capital Adequacy and Liquidity Calculation Monitoring
- AUM Declarations to the FSCA
- Ensuring a Risk and Compliance Culture Exists
- Investment Reporting (FFS & Quarterly Reports)
- CPD Programme Monitoring
- General Office Management
- Staying up-to-date with Legislation (FAIS, FICA, POPIA etc...)