Job Description
My client is currently recruiting for a Category II Compliance Officer position. Reporting to the Head: Compliance. 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). You must be a CAT 2 FSCA Registered to apply!
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
Requirements:
- Relevant qualification such as B Com Law or equivalent
- Must be a registered and FSCA Compliance Officer (CAT2)
- RE1 and RE3
- 3 – 5 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
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