Compliance Officer - Cat II

Recruiter:

Yazoo Recruitment

Job Ref:

Compliance Officer -..

Date posted:

Wednesday, March 10, 2021

Location:

Johannesburg, South Africa

Salary:

Market related salary offered

SUMMARY:
FSCA registered CATII Compliance Officer, with minimum 5 yearsâ€™ compliance experience within financial services, required to implement relevant legislation regulations and to drive quality assurance and compliance adherence re long and short term assurance, collective investments and stockbroking.

POSITION INFO:

FSCA registered CATII Compliance Officer, with minimum 5 years’ compliance experience within financial services, required to implement relevant legislation regulations and to drive quality assurance and compliance adherence re long and short term assurance, collective investments and stockbroking.

Minimum requirements:

B.Com Law or equivalent degree required
Registration with the FSCA as a CAT II Compliance Officer essential
5 years’ experience within the financial service industry essential – specific to Financial Advisers and Financial Planners
Corporate compliance experience and knowledge required
Knowledge of FICA, FAIS and relevant legislation regulations and rules required

Responsibilities:

Maintain compliance framework in collaboration with all stakeholders
Identify compliance breaches and investigate irregularities
Review, register and resolve complaints
Maintain Key Individual/Representative register
Maintain and update compliance records
Review and resolve Fit&Proper queries
Maintain compliance procedures 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.

NB! This job is now closed. You can apply for other jobs by uploading your CV.

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