Fais Compliance Officer

1 week ago

Cape Town, South Africa Rory Mackie & Associates Full time

**Overview**:
Our client, a leading global Asset Manager is seeking to hire a FAIS Compliance Officer, to assist the compliance team in implementing and maintaining an effective, committed compliance and integrity program, to prevent and detect violations of legislation, internal rules and policies and investment guidelines.

**Responsibilities**:

- Monitor compliance in line with FAIS requirements
- Assist in monitoring compliance with applicable legislation and internal requirements
- Review draft supplemental trust deeds with the view of implementation
- Monitor compliance of portfolios in line with Board Notice 90, ASISA fund classification and any other supplemental deed requirements
- Engage with Portfolio Managers on breaches identified during portfolio monitoring
- Identify and assess compliance risk areas periodically and appropriately address findings through relevant and appropriate action plans processes
- Monitoring of the advisory process within an advice business
- Identification of risks and developing processes to mitigate the risks
- Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
- Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner
- Assist with the establishment and maintenance of procedures on the identification, reporting and resolution of breaches and other compliance and regulatory issues
- Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviours
- Report on compliance matters to the Compliance Manager and to the respective businesses
- Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units
- Drafting and submitting of monthly compliance report to the respective business units
- Maintain awareness of the regulatory framework and specific obligations within the Financial Advisory and Intermediary Services (FAIS) Act, and it’s subordinate legislation

**Requirements**:

- Relevant tertiary qualification
- Postgraduate Diploma in Compliance Management would be advantageous
- 3 years compliance experience in an advisory and asset management FSP
- Good working knowledge of FAIS and FICA and other related legislation
- FSCA Approved Compliance Officer for Category I and Cat II
- Investment and financial industry experience (essential)
- Understand and experience of CISCA would be advantageous

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