Compliance Officer (Market Conduct)

SUMMARY:
Compliance Officer (Market Conduct)

POSITION INFO:
About the Role We're looking for a Compliance Officer to act as a trusted advisory partner within our second-line assurance function. This is an advisory role, not a monitoring role - you'll embed regulatory requirements into business decision-making, product design, and operational practices across a large, complex Investment Management environment. Scope Advisory oversight across more than 6 legal entities , representing approximately R880 billion in assets under management Regulatory frameworks including FAIS, CISCA, PFA, LTI, and POPIA Key Responsibilities Provide practical, solution-oriented compliance advice to operational, product, distribution, and support teams Embed regulatory requirements into products, services, and customer journeys Identify regulatory and conduct risks; partner with the business on sustainable remediation Support fair customer outcomes and challenge practices that expose the business to regulatory harm Participate in change initiatives and projects, addressing regulatory considerations upfront Maintain and enhance the Compliance Requirement Universe and related controls Track compliance breaches, support root-cause analysis and escalation Prepare compliance reports for management and governance committees Support regulatory submissions, inspections, thematic reviews, and audits Deliver compliance training and coach junior team members Requirements Matric plus a relevant tertiary qualification (Law, Compliance, Risk Management, Finance, or Business) FSCA approval as a Compliance Officer RE3 or RE4, with Phase I Compliance approval 5-8 years' regulatory compliance experience in financial services or a regulated environment Proven experience in Investment Management Demonstrated experience in business partnering\/advisory compliance roles Experience in breach management and regulatory reporting Strong knowledge of market conduct legislation (FAIS, CISCA, POPIA, PFA) Exposure to compliance technology, data, and AI tools (advantageous)