Compliance Officer - Cat II

SUMMARY:
Compliance Officer (Category II) - Midrand 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.

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
• RE3 Certificate required
• 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.