SUMMARY:
Category I Compliance Officer with minimum 5 years’ Corporate Compliance experience working with Financial Advisor and Financial Planners in a Distribution environment within the Financial Services Industry, required to start asap. Ideal opportunity to gain CAT II Compliance experience under supervision.
POSITION INFO:
Compliance Officer with minimum 5 years’ Corporate Compliance experience working with Financial Advisor and Financial Planners in a Distribution environment within the Financial Services Industry, required to start asap.
Minimum requirements:
- Relevant qualification – B.Comm Law or equivalent
- Minimum 5 years’ corporate compliance experience
- Registration with the FSCA as a Category I Compliance Officer required – will also consider candidates working under supervision for Category II
- SAIFM Compliance certification required
- Knowledge of FICA, FAIS and relevant legislation, regulations and rules required
- Corporate compliance experience working with Financial Advisers/Planners required
- Financial service industry experience required
Responsibilities:
- Implementation of relevant legislations, drive quality assurance and compliance adherence (long term and short term insurance, collective investments and stockbroking)
- Maintain compliance framework in collaboration with all stakeholders
- Identify compliance breaches and investigate irregularities
- Review, register and resolve complaints received from clients
- Maintain Key Individual / Representative register
- Ensure compliance records are updated
- Review and resolve Fit & Proper queries
- Maintain compliance procedure and manuals
- Conduct and report on compliance audits at Adviser offices
If you are a SA citizen and your CV meets the above requirements, please respond via email to <--------Please upload your CV here--------
Recognising that diversity is key to excellence, our client especially encourages members of designated groups to apply.
If you have not heard from us within a 2 week period, please deem your application as unsuccessful
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2. That you have no objection to us retaining your personal information in our database for future matching and will notify us in writing should you wish to remove your personal information from our database.
3. Should suitable opportunities arise we will contact you and request your consent to submit your CV to a specific client for a specific purpose.
4. That the information you have provided to us is true, correct and up to date.
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