Compliance Officer CAT II | Midrand

Recruiter:

The Recruitment Council

Job Ref:

Compliance Officer C..

Date posted:

Thursday, July 4, 2024

Location:

midrand, Gauteng, South Africa

Salary:

R 750 000 – R 850 000 per annum

SUMMARY:
Compliance Officer CAT II | Midrand

POSITION INFO:

Our client is seeking a Category II Compliance Officer to join their team. This position reports to the Head of Compliance – Distribution and involves ensuring adherence to relevant legislative regulations and maintaining quality assurance in the client''s offices, which cover long-term and short-term assurance, collective investments, and stockbroking.

Key Responsibilities:

Develop and maintain a comprehensive compliance framework with relevant stakeholders.
Identify and investigate potential compliance breaches and areas of concern.
Review, register, and resolve client complaints.
Maintain the key individual/representative register.
Ensure that all compliance records are accurate and up-to-date.
Address and resolve Fit and Proper queries.
Update and maintain compliance procedures and manuals.
Conduct compliance audits at Adviser offices and report findings.

Qualifications and Experience:

Relevant qualification such as BCom Law or equivalent.
Registered FSCA Compliance Officer (CAT II).
RE 1 and RE 3 certifications.
3 – 5 years of compliance experience in the financial services industry.
In-depth knowledge of FICA, FAIS, and relevant legislation, regulations, and rules.
Experience in corporate compliance and working with Financial Advisers/Planners.
Proficiency in MS Office.

Skills and Competencies:

Strong interpersonal, communication, and report writing skills.
Ability to work independently and as part of a team.
Capable of operating in a high-performance environment at various levels.
Excellent client relationship-building skills.

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