Compliance Specialist

Recruiter:

The Recruitment Council

Job Ref:

Compliance Specialis..

Date posted:

Sunday, March 27, 2022

Location:

Sandton, South Africa

Salary:

750000

JOB SUMMARY:
Compliance Specialist

JOB DESCRIPTION:

Our client, a national independant wealtbh firm is currently recruiting for a Compliance Officer CAT I (under Supervision for CAT II) position.

Reporting to the Head: Compliance, this individual will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser / Wealth Management offices (long- and short-term assurance, collective investments and stockbroking).

Responsibilities:

• Maintain a compliance framework in collaboration with the relevant stakeholders
• Identify potential compliance breaches and investigate compliance irregularities or areas of concern
• Review, register and resolve complaints received from clients
• Maintain the key individual / representative register
• Ensure compliance records are up to date
• Review and resolve Fit and Proper queries
• Maintain the compliance procedures and manuals
• Conduct and report on compliance audits at Adviser offices

Minimum requirements:

• Relevant qualification such as B Com Law or equivalent
• Must be a registered and FSCA Compliance Officer In the possession of all appropriate SAIFM Compliance
certification
• Knowledge of FICA, FAIS and relevant legislation, regulations and rules
• 5 years+ relevant knowledge, skills and corporate compliance experience
• Relevant experience working with Financial Advisers / Financial Planners / Wealth Managers
• Computer literate in MS Office

Competencies required:

• Interpersonal, communication and report writing skills
• Ability to work independently and as part of team
• Ability to operate in a high-performance environment at different levels
• Client relationship building skills.

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

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