Compliance Specialist

SUMMARY:
A leading financial services provider, dedicated to delivering innovative solutions to their clients, is looking for a Compliance Specialist to join their highly motivated team.

POSITION INFO:
As a Compliance Specialist you will oversee and ensure compliance with regulatory requirements, with a particular focus on employee benefits, pension funds, and the Financial Advisory and Intermediary Services (FAIS) Act.

The ideal candidate needs to have a deep understanding of the regulatory landscape and a proven track record in implementing and managing compliance programs in the financial services sector.

Duties and Responsibilities Include:

• Monitor and ensure adherence to all relevant regulations and industry standards, including those related to employee benefits, pension funds, and FAIS.
• Develop, implement, and maintain compliance policies and procedures tailored to the financial services industry.
• Conduct regular audits and assessments to ensure ongoing compliance with internal policies and external regulations.
• Oversee compliance aspects related to employee benefits programs, including health insurance, retirement plans, and other benefits.
• Ensure compliance with regulations governing pension funds and related investment activities.
• Manage compliance with the FAIS Act, including ensuring that advisory and intermediary services meet regulatory standards.
• Provide training and guidance to staff on compliance-related matters and industry regulations.
• Prepare and submit required regulatory reports and documentation in a timely and accurate manner.

• BCom in Law/LLB Degree
• Diploma/Certification in Compliance Management (advantageous)
• Minimum 5 – 6 years of experience in compliance management in the financial services sector
• FAIS experience required
• Experience with employee benefits and pension funds (advantageous)
• Excellent communication and report writing skills