Compliance Officer
2 weeks ago
ob description
The role is responsible for the compliance activities across the division and to engage management to ensure that internal processes are aligned with regulatory requirements, advising on regulatory changes, and provide reliable, value-added, and independent feedback and advice to management on regulatory matters.
Permanent, Cape Town based
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, including AML compliance monitoring
- 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
- Ensure the application of the TCF outcomes
- 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
Qualifications
- Financial services experience, preferable within the CIS environment
- Relevant qualification (i.e. law of relevant financial degree)
- FSCA registered compliance officer (with RE1 exam)
- Proficient in MS Office Suite
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