Senior Compliance Officer - Financial Services Short Term Insurance FAIS Compliance Specialist

Location: Johannesburg, South Africa
Salary: R800K
Recruiter: Execuplace Appointments
Job Ref: Senior Compliance Officer
Date posted: Monday, February 10, 2020
Summary: Senior Compliance Officer -- Financial Services - FAIS Compliance Officer - Short-Term Insurance Specialist



Job Description

Our client, a dynamic international Financial Services Provider based in Sandton is seeking to employ a Senior Compliance Officer.


Senior Compliance Officer
The successful candidate will be responsible for ensuring that the business complies with ethical
practices, internal policies and legislation. Duties will include compliance monitoring, reporting
and remediation across the Africa region
 Ensure continual monitoring of regulatory evolutions that impact the business
 Support the business with implementing and managing regulatory monitoring methodology
 Define and implement compliance monitoring and training plan
 Define and implement regulatory compliance controls
 Manage customer complaints
 Support the business and provide compliance and regulatory advice
 Draft compliance reports and legal opinions
 Implement and maintain FAIS representative register
 Provide FAIS advice to human resources regarding FAIS and CPD requirements
 The candidate must be a qualified FAIS compliance officer and must meet the FSCA’s
requirements for internal compliance officers (Category I FSP)
Qualification and Experience:
 Grade 12 or NQF Level 4
 Tertiary degree (LLB, BCom Law or similar) / Relevant qualification as per the FSCA’s
approved qualifications list
 Minimum of 5 years’ relevant experience in a FAIS compliance role (candidate must have
relevant testimonials confirming experience where applicable)
 RE 1 certificate
The candidate must also have:
 Exposure to liaising with regulatory bodies
 A sound knowledge of the applicable regulatory framework, compliance topics and
applicable laws pertaining to the business (FAIS, TCF, Short Term Insurance Act and PPR
knowledge essential)
 Experience managing compliance related queries and engaging with business
 Experience in implementation of training
 Valid passport (or must be suitably qualified to apply for a passport)
 International compliance experience beneficial
 Ability to work independently
 Highly analytical with strong attention to detail
 Assertive, able to operate in complex and dynamic working environment
 Proficient in spoken English
 Solution orientated, dedicated and someone who takes ownership of tasks and responsibilities
 Ability to work under pressure and on own initiative
 Confident and quick learner
 Excellent oral and written communication skills
This position will be filled in accordance with the employment equity policy


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