Compliance Office - CAT 2 | Tygervalley

MINIMUM REQUIREMENTS – QUALIFICATIONS & WORK EXPERIENCE

• A Legal / Accounting / Financial degree.

• Must be approved by the FSCA for Category I, II and IIA.

• Registered as a FSCA (FSB) approved Compliance Officer is essential.

• Minimum 3 years’ proven experience in compliance or risk management within the financial services industry.

• Category I, II and IIA FSP experience.

• A valid driver’s licence.

COMPLIANCE DUTY AND RESPONSIBILITY

• Deliver outsourced compliance functions to financial services clients and other FICA-accountable institutions.

• Fulfil compliance function required in terms of FAIS, FICA, and other applicable legislation and business requirements.

• Establish and nurture a culture of compliance, providing clients with a robust compliance risk framework.

• Assist clients to achieve the TCF outcomes.

• Services to be delivered to independent FSPs and Corporate clients.

• Perform all functions to the standard and deadlines set by Regional Manager.

• Provide clients with high quality, personalised and substantive reports.

• Include clients in compliance processes and provide post monitoring feedback.

• Maintain records as required by the business.

• Display behaviour and attitudes that positively contributes to the well-being and development of the regional team, the company, and its clients.

• Source and sign up new clients, expanding the company''s client base.

COMPETENCIES AND SKILLS

• A good working knowledge of compliance legislation, namely FAIS and FICA.

• Understanding and knowledge of risk management principles.

• Exceptional verbal and written communication skills.

• Ability to work under pressure, independently, and as part of a team.

• Proficient presentation skills.