SUMMARY:
Compliance Officer (Category I)
POSITION INFO:
Our Client is on the lookout for a Compliance Officer (Category I) to provide expert compliance and risk management services to financial services clients and FICA-accountable institutions. This role ensures adherence to FSCA regulatory requirements, particularly FAIS and FICA, while helping clients establish a strong compliance framework. You will play a key role in monitoring compliance, mitigating risks, and fostering a compliance-driven culture within independent FSPs and corporate clients.
Key Responsibilities:
- Deliver outsourced compliance services to financial services clients.
- Ensure regulatory compliance with FAIS, FICA, and other applicable laws.
- Develop and implement compliance risk frameworks tailored to client needs.
- Support clients in meeting Treating Customers Fairly (TCF) outcomes.
- Prepare and deliver detailed compliance reports with actionable insights.
- Conduct compliance monitoring, post-monitoring feedback, and record-keeping.
- Maintain a high standard of service in line with Regional Manager expectations.
- Contribute to team development and client relationship management.
- Identify and onboard new clients, expanding the company’s compliance service offering.
Qualifications & Experience:
- Degree in Law, Accounting, Finance, or a related field.
- FSCA-approved Compliance Officer (essential).
- Must be approved by the FSCA for Category I compliance functions.
- Minimum 3 years’ experience in compliance or risk management within financial services.
- Strong Category I FSP compliance expertise.
- Valid driver’s licence required.
Skills & Competencies:
- In-depth knowledge of FAIS and FICA regulations.
- Strong understanding of risk management principles.
- Excellent written and verbal communication skills.
- Ability to work independently and collaboratively under pressure.
- Strong presentation and reporting skills.
