Compliance Officer

2 months ago

Pretoria, South Africa Status Asset Management Full time

Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure compliance? Are you fantastic at evaluation and coaching where required? Raise your hand because

WE’RE HIRING

It’s our mission to unleash the potential in our team, and we know that teams perform best when they are diverse and each individual feels that they belong. That’s why we want you to join us in the capacity of Compliance Officer. This role plays an integral part in our team, as you will be the custodian of Company compliance and form an integral part of ensuring risk is mitigated within the Financial Services Provider space.

 

What can we offer you? Some of our benefits include:

  • Modern fit-for-purpose people practices.
  • Working in a state-of-the-art tech building that includes access to on-site gym to help you grow your fitness as much as you do your brain.
  • Two on-site restaurants that will have you inhaling aromas of mouth-watering lunchtime dishes, and freshly brewed coffee. At Fintech campus that’s just a part of the rhythm of the day.

 

Great, so who is a good fit?

A specialist with a high attention to detail and who has the ability to ensure FAIS and FICA compliance is met. Someone who fully understands the Financial services industry, as well as the processes within an FSP environment. The ideal candidate will also have excellent verbal and written communications skills and the ability to provide feedback and coaching where needed.

 

So what will such a fantastic individual’s duties and responsibilities include?

  • Responsible for implementing and enforcing the Business’ compliance programmes;
  • Maintain awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements;
  • Consult on an on-going basis with Operational managers to ensure conformance with applicable laws and regulations;
  • Manage, oversee and monitor Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, license conditions and annual levies;
  • Perform statistical sampling and monitoring;
  • Maintain register of representatives and informs Registrar of any changes;
  • Responsible for the control of the Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) regulations;
  • Analyse received documents and interact with the Office Manager to advise if received documents are acceptable;
  • Ensure compliance with and oversight of, ongoing statutory regulatory requirements;
  • Responsibility includes monitoring and validation of investor files, technical and documentary support to investor teams, updating of operational procedures and participation in compliance committees;
  • Develop, initiate, maintain and revise policies and procedures for the general operation of regulatory compliance;
  • Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future;
  • Provide Compliance reports to Management so as to mitigate risk and assess success;
  • Ensure effective risk management and internal control for area of responsibility.

 

Are there any specific skills and attributes required?

  • Ability to apply self-confidence and self-regulation;
  • Trustworthiness and conscientiousness by taking responsibility for personal performance;
  • Loyalty toward the organisation;
  • Commitment by aligning with organisational goals;
  • Ability to apply assertiveness;
  • Attention to detail;
  • Controlled decision-making process;
  • Confidentiality and time management / prioritising;
  • Planning and scheduling workability to manage projects and processes;
  • Listening and organising ability to understand, organise, analyse and respond appropriately;
  • Communication skills by remaining professional and applying effective communication in all areas;
  • Flexibility relating to work dealings, assist when required even if it’s not in your job description;
  • Enthusiasm for learning and self-improvement;
  • Be able to work accurately and effectively in a highly pressurised environment;
  • Unrivalled analytic ability;
  • Accountability and a team player.

Take a look at the what the requirements for this amazing job are and if you meet them apply, apply, apply:

  • Computer literate with knowledge in Excel, Word and MS Suite;
  • Completed Senior Certificate (Matric);
  • Meeting the competence, qualifications and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority would be advantageous;
  • 3-6 years’ experience as a Compliance Officer in the Financial Services Industry;
  • A thorough understanding and knowledge of compliance risk management and monitoring programmes;
  • A thorough understanding and knowledge of the regulatory requirements impacting on the various businesses (e.g. FAIS, FICA, LTIA, PPR, POPIA);
  • Degree in Compliance / Legal or a similar field;
  • Ability to communicate appropriately and effectively in spoken and written English and Afrikaans;
  • Be able to work long hours when required.

 

  • Compliance Officer

    1 month ago

    Pretoria, South Africa Adzuna ZA B C2 Full time

    Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure compliance? Are you fantastic at evaluation and coaching where required? Raise your hand becauseWE’RE HIRING! It’s our...

  • Compliance Officer

    2 months ago

    Pretoria, South Africa Numeral Financial Services Group Full time

    Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure compliance? Are you fantastic at evaluation and coaching where required? Raise your hand becauseWE’RE HIRING! It’s our...

  • Compliance Officer

    1 month ago

    Pretoria, South Africa Numeral Financial Services Group Full time

    Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed when it comes to managing, overseeing and monitoring Financial Advisory and Intermediary Services (FAIS) compliance so as to ensure compliance? Are you fantastic at evaluation and coaching where required? Raise your hand because WE’RE HIRING! ...

  • Junior Compliance Officer

    3 months ago

    Pretoria, South Africa Watershed Consulting Full time

    **Job Description**: **JUNIOR COMPLIANCE OFFICER** **REPORTING TO** Senior Compliance Officer: Advice **PURPOSE OF JOB** **_The person must have extensive FAIS experience and have experience in working with Administration/Supervision/ FAIS of Financial Advisors in a Wealth Managment and/or Financial Services environment _** To form part of the...

  • Compliance Officer

    4 months ago

    Pretoria, South Africa Krypton Mining Full time

    We are seeking a dedicated Compliance Officer who is mission-driven and passionate about regulatory compliance. The Compliance Officer will be responsible for developing and overseeing standards and processes to ensure effective compliance programs across the organization. This includes assessing and mitigating all regulatory compliance risks and providing...

  • Compliance Officer

    6 hours ago

    Pretoria, South Africa SiG Labour Corporate Full time

    COMPLIANCE OFFICERThe position mainly consists of members having to observe and run the "compliance" of the site by means of CCTV.Requirements:PSIRA Grade A qualified with renewed certificateGrade 12Valid driver's license and own carComputer literate (Word, Excel, Powerpoint, etc.)Exceptional supervisory experienceExceptional communication skills (spoken and...

  • Compliance Officer

    4 months ago

    Pretoria, South Africa Financial Intelligence Centre (FIC) Full time

    Conducting desktop monitoring of institutions regarding registration and reporting compliance; - Responding to public and stakeholder queries on the FIC Act compliance and ML/TF/PF risk matters within prescribed timelines; - Drafting responses to stakeholder correspondence and drafting minutes of stakeholder meetings, within prescribed timelines and...

  • Ict Risk and Compliance Officer

    3 months ago

    Pretoria, South Africa Nambiti Technologies Full time

    We are recruiting for an ICT Risk and Compliance Officer Provide guidance, feedback, and support across ICT regarding identification of risk, risk mitigation and management. - Create appropriate metrics to quantify, track and report on identified risk across ICT. - Provide analysis and assessments for risks associated with relevant ICT projects...

  • Technical Compliance Officer

    3 months ago

    Pretoria, South Africa SGS Full time

    Company Description **Job Description**: - Ensure adherence to company Code of Ethics. - Assess need, organize and perform Internal Audits within the assigned regions in terms of quality systems by conducting audits in terms of Health & Safety / Quality / HR compliance and submit a comprehensive report per site visit to the regional manager. - Ensure all...

  • Risk and Compliance Management Officer

    3 months ago

    Pretoria, South Africa cinfo Full time

    COMPANY PRESENTATION WHO began when our Constitution came into force on 7 April 1948 - a date we now celebrate every year as World Health Day. We are now more than 7000 people from more than 150 countries working in 150 country offices, in 6 regional offices and at our headquarters in Geneva. - Our primary role is to direct and coordinate international...

  • Aml Compliance Officer

    3 months ago

    Pretoria, South Africa Professional Sourcing Full time

    **Job Overview**: **AML Compliance Officer (Financial Services)** **Location**:La Lucia**, Durban, KwaZulu-Natal** - _ **Position Overview**: One will form part of the **Compliance Function** **providing specialist support to the Group Compliance team** to **enable the Board of Directors discharge their compliance obligations for the Group entities**, in...

  • Chief Compliance Officer

    1 day ago

    Pretoria, Gauteng, South Africa Isilumko Staffing Full time

    {"h1": "Compliance Risk Management Role", "p": "We are seeking a highly skilled Compliance Risk Manager to join our team at Isilumko Staffing. As a key member of our Compliance division, you will be responsible for providing legal guidance and advice to ensure our organization remains compliant with regulatory requirements.", "ul": [{"li": "Develop and...

  • Compliance Officer

    16 hours ago

    Pretoria, South Africa SiG Labour Corporate Full time

    The position mainly consists of members having to observe and run the "compliance" of the site by means of CCTV.Requirements:PSIRA Grade A qualified with renewed certificateGrade 12Valid driver's license and own carComputer literate (Word, Excel, Powerpoint, etc.)Exceptional supervisory experienceExceptional communication skills (spoken and written) in...

  • Compliance Officer

    4 hours ago

    Pretoria, South Africa SiG Labour Corporate Full time

    The position mainly consists of members having to observe and run the "compliance" of the site by means of CCTV. Requirements: PSIRA Grade A qualified with renewed certificate Grade 12 Valid driver's license and own car Computer literate (Word, Excel, Powerpoint, etc.) Exceptional supervisory experience Exceptional communication skills (spoken and...

  • Compliance Officer

    2 hours ago

    Pretoria, South Africa Adzuna ZA B C2 Full time

    The position mainly consists of members having to observe and run the "compliance" of the site by means of CCTV.Requirements:PSIRA Grade A qualified with renewed certificateGrade 12Valid driver's license and own carComputer literate (Word, Excel, Powerpoint, etc.)Exceptional supervisory experienceExceptional communication skills (spoken and written) in...

  • Risk and Compliance Officer

    2 months ago

    Pretoria, South Africa Network Recruitment Full time

    In this role, you will be responsible for providing meaningful insight and guidance for internal and external departments - this includes the legal, insurance, financial and credit divisions. You will be expected to draft and implement policies and procedures, as well as oversee compliance.Duties: Risk Management Compliance Oversight Policy Development...

  • Officer - Supply Chain Management Compliance

    4 months ago

    Pretoria, South Africa Affirmative Portfolios Full time

    **Procurement** **Pretoria** ***: **Officer - Supply Chain Management Compliance** **Pretoria** **12 Months Fixed Term Contract** **Salary - Market Related** **Outline** **Division** - Finance/Supply Chain Management **Reports to** - Manager: Supply Chain Management Compliance **About the position**: To facilitate and administer the supply chain...

  • Junior Safety Officer

    3 days ago

    Pretoria, Gauteng, South Africa The Vine Partners Full time

    About the RoleWe are seeking a highly motivated and detail-oriented Junior Safety Officer to join our team at The Vine Partners. As a Junior Safety Officer, you will play a critical role in ensuring compliance with Occupational Health and Safety regulations and promoting a safe work environment.Key ResponsibilitiesConduct Regular Safety Inspections: Assist...

  • Senior Risk and Compliance Officer for a Period of

    5 months ago

    Pretoria, South Africa Thusa Batho Labour Solutions Full time

    The NLSA seeks to appoint a Senior Risk and Compliance Officer to conduct risk management functions within NLSA. **Planning and Implementation**: - Participate in developing and implementing the risk management framework consisting of Risk Management Policy; Risk Management Strategy; Risk Management Committee (RMC) Charter; Fraud and Corruption Policy;...

  • Quality Assurance

    3 months ago

    Pretoria, South Africa Pillango Placements Full time

    **Gauteng**, PTA - East** **R 12000 - R 12000 Monthly Cost To Company** We are seeking a skilled and experience Call Centre QA and Compliance Officer to join a legal firm based in Pretoria East. Use your 4-5 years of experience in legal collections or banking, AJS proficiency, and advanced Excel skills to maintain unwavering quality and compliance...