SUMMARY:
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POSITION INFO:
Compliance Officer Cape Town
Our Financial Services client is looking for a Compliance Officer CAT1 and CAT3 with a practical approach to systems and processes. Must have CAT1 and CAT3 will be an advantage.
Salary: Negotiable CTC
Minimum Requirements:
Matric
BComm Honours / BusSci degree / or relevant postgraduate degree in compliance or related qualification.
3 – 5 years in compliance or similar role in financial services environment
Exposure to Category 1 and 3 processes
Category 1 registered FAIS compliance officer.
Registration as a Category 3 FAIS Compliance Officer would be advantageous.
Member of the Compliance Institute of South Africa (CISA).
Key Responsibilities
Review business processes and recommend applicable changes to ensure adherence and compliance with the regulatory framework.
Provide compliance support to business development and operation stakeholders to ensure operational process adheres to key compliance standards.
Assist with drafting, commenting, and updating compliance process documentation and policies.
Responsible for category 1 and 3 FAIS license requirements and where possible supervisor trainee compliance officer(s).
Ensure adherence to the Compliance Management Framework.
Perform compliance monitoring and where relevant provide recommendations which would result in improvements in relation to business process.
Provide training to employees and management regularly on compliance-related issues and changes to regulatory environment.
Ensure the regulatory universe is maintained and updated in relation to primary and secondary legislation, FAIS (essential), LTIA, FICA, POCDATARA, FATCA, POPI, Insurance act.
Please Apply Online at FROGG Recruitment
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