CAT2 Compliance Officer

Recruiter:

CA Financial Appointments

Job Ref:

54846

Date posted:

Monday, August 19, 2024

Location:

South Africa, South Africa

Salary:

Market related

SUMMARY:
My client is currently recruiting for a Category II Compliance Officer.

POSITION INFO:

My client is currently recruiting for a Category II Compliance Officer. Reporting to the Head: Compliance - Distribution, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser offices (long- and short-term assurance, collective investments and stockbroking).

Responsibilities:

Manage compliance structure with stakeholders
Determine possible compliance breaches and explore compliance irregularities and concerns
Review and resolve complaints and Fit and Proper queries
Maintain representative register
Verify and keep compliance records up to date
Maintain compliance procedures and manuals
Manage and report on compliance audits

Requirements:

Must have a BCom Law or equivalent qualification
Must be a registered FSCA Compliance Officer, and have all appropriate SAIFM Compliance certification
Minimum of 3-5 years compliance experience in financial services industry
Must be knowledgeable of FICA, FAIS and relevant legislation, regulations and rules
Strong communication and report writing skills
Excellent client relationship building skills

Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.

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