Operations Compliance Officer | Cape Town

Recruiter:

The Recruitment Council

Job Ref:

Operations Complianc..

Date posted:

Wednesday, July 2, 2025

Location:

cape town, Western Cape, South Africa

Salary:

R500 000

SUMMARY:
Operations Compliance Officer | Cape Town

POSITION INFO:

Job description:

We are currently recruiting for a Category I Operational Compliance Officer position. Reporting to the Chief Legal and Compliance Officer, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser 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
Ensure compliance documents are uploaded on the relevant portals
Ensure compliance records are up to date
Review and resolve Fit and Proper queries
Maintain the compliance procedures and manuals
Analyse information and pro-actively suggest improvements to ensure compliance process is followed in accordance with the GCOC under FAIS,

Minimum requirements:

Relevant qualification such as B Com Law or LLB
Must be a registered and FSCA Compliance Officer (CAT 1)
RE 1 Certificate
3 - 4 years compliance experience in the financial services industry
Knowledge of FICA, FAIS and relevant legislation, regulations and rules
Relevant knowledge, skills and corporate compliance experience
Relevant experience working with Financial Advisers / Financial Planners
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.

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