Compliance Officer

SUMMARY:
Come and play a key role in a leading financial services team as their Compliance Officer.

POSITION INFO:

Come and play a key role in a leading financial services team as their Compliance Officer. This role is responsible for the regulatory compliance, and calls for a regulatory Compliance Officer who has strong Pension Funds Act, FICA and FAIS compliance experience and who is a FAIS Registered Compliance officer for CAT1 products.

Why join this team?

• Great opportunity to step into a key compliance role within a respected financial services environment
• Take the lead in ensuring the business meets critical regulatory requirements while promoting a strong culture of compliance
• ideal for someone who thrives on responsibility and wants to make a tangible impact

What you will be doing:

• Act as the appointed FAIS Compliance Officer (Cat I FSP), FIC MLRO, and S13B Compliance Officer
• Monitor and plan FAIS compliance across relevant entities
• Oversee CPD, COB, and PST requirements for all representatives and KIs
• Monitor and report on supervision of representatives under supervision
• Stay current with AML legislation and assist with FIC reporting
• Conduct ongoing FICA monitoring
• Plan and implement internal compliance training
• Manage and submit various regulatory submissions and reports
• Liaise with the FSCA for licensing requirements
• Provide other regulatory compliance services as needed

What we are looking for:

• Degree or Postgraduate Qualification, along with RE 1 and RE 5 certifications
• 3-5 years' experience within the related eegulatory compliance within financial services
• Registered FAIS Compliance Officer for Cat I

Benefits and unique aspects:

• Key role in a highly regulated, dynamic environment
• Direct interaction with regulators and senior management
• Exposure to multiple regulatory frameworks (FAIS, FICA, PFA)

Please note if you haven't heard back from us within two weeks of submitting your application, unfortunately your application has not been successful this time. We'd still love to stay connected, follow us online and keep an eye out for future opportunities that match your profile.