Compliance Officer CAT I | Midrand

SUMMARY:
Compliance Officer CAT I | Midrand

POSITION INFO:

Our client is seeking a Category I Compliance Officer to join their team in Midrand. Reporting to the Head of Compliance – Distribution, this role involves implementing relevant legislative regulations and ensuring quality assurance and compliance within the client''s offices, which include long-term and short-term assurance, collective investments, and stockbroking.

Key Responsibilities:

• Develop and maintain a robust compliance framework in partnership with relevant stakeholders.
• Identify and investigate potential compliance breaches and areas of concern.
• Review, register, and resolve client complaints.
• Keep the key individual/representative register updated.
• Ensure all compliance records are current and accurate.
• Address and resolve Fit and Proper queries.
• Update and maintain compliance procedures and manuals.
• Conduct compliance audits at Adviser offices and report the findings.