Junior FAIS Compliance Officer(Pretoria)

2 weeks ago


Pretoria, South Africa Horizon Compliance Full time
Job title : Junior FAIS Compliance Officer(Pretoria)Job Location : Gauteng, PretoriaDeadline : December 28, 2024Quick Recommended Links
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Main Requirements:

  • You need to have at least 1- 2 years of experience in the Legal or Financial Services industry – either fully approved or rendering CO services under supervision
  • You must have some exposure to FAIS and FICA
  • Doing repetitive admin work must give you immense amounts of joy
  • This is a work-from-home position, but candidates must be in South Africa 
  • You need to learn fast and take responsibility
  • You are not allowed to conduct other work for other companies/yourself while in our employ

Additional Requirements:

  • Tech-savvy
  • A disciplined approach to your daily work
  • Good numeracy skills
  • Fluency in English and Afrikaans - writing and speaking
  • Experience in liaison with regulators
  • Good people and problem-solving skills
  • A high level of ethics
  • Be able to take initiative on many projects

Day-to-day Responsibilities:

  • To solve problems and provide solutions for clients
  • Advise and provide guidance and research to clients on applying FAIS and related legislation (FICA/POPI/NCR/etc.)
  • Advise and facilitate license applications
  • Communicate with regulators on behalf of clients (may include FSCA/FIC/NCR/SARB)
  • Conduct fit and proper assessments of businesses and their employees
  • Conduct monthly file monitoring and yearly practice monitoring
  • Conduct occasional training sessions on legislative requirements
  • Facilitate compliance meetings with clients on updates/challenges
  • Attend occasional conferences
  • Drafting of policies, procedures, and contracts
  • Assist with the implementation of policies and procedures
  • Submit regulatory documents (compliance reports/financial statements etc.) within prescribed timeframes
  • Ad hoc projects
  • Assist clients with onsite inspections from regulators
  • Discuss contract options with potential clients

Additional "Nice to have's":

  • Interest in blockchain and crypto technology
  • Experience in CISCA, CAT llA, & CAT lll
  • Experience in FAIS license applications and document collation
  • Marketing and sales experience
  • Experience in sending quotes and acting on leads
  • Legal drafting and research capability
     

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