Job title: Compliance Officer
Job type: Permanent
Emp type: Full-time
Salary type: Annual
Salary: Negotiable
Location: Cape Town, WC
Job published: 11/04/2024
Job ID: 54580

Job Description

My client, a boutique Wealth Management firm is looking for a Compliance Officer to join their team. This role is responsible for the compliance support and implementation of risk and compliance policies and procedures for the company. 

Responsibilities:

  • Compliance reporting on behalf of business unit; internal and external (statutory) requirements
  • Review of planned legislative changes, and make recommendations
  • Monitoring of existing legislative changes
  • Assist with documentation of processes and procedures, and planned training
  • Review of system, and recommendations of system changes required
  • FSP license changes as needed
  • Compliance monitoring; review of client advisory and investment implementation records (FAIS and FICA)
  • Review and approval of client onboarding
  • Technical queries; assist advisory, fiduciary and consulting operations with technical queries

Requirements:

  • Relevant tertiary qualification a necessity: BCom (Accounting) or BCom Honours in Risk Management
  • Completed Accounting or Auditing Articles
  • Previous experience in similar function preferred, with proven track record
  • Accurate and deadline oriented

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