Compliance Officer

A well-established Financial Services Provider is currently recruiting for a Category I Compliance Officer position. Reporting to the Head of Compliance: Distribution, this role carries responsibility for ensuring the implementation of relevant legislation and regulations, while driving quality assurance and overall compliance adherence within the business.

Responsibilities

• Compile compliance and statistical reports to the business, clients, and regulators

• Ensure implementation and maintenance of the compliance risk management and monitoring plan

• Monitor primary legislation impacting the business

• Analyse, interpret, and implement new legislation

• Review all marketing material in accordance with Board Notice 92

• Address compliance queries from the business

• Manage compliance projects from start to finish

• Ensure the application of Treating Customers Fairly (TCF) outcomes

• Maintain FAIS compliance procedures and manuals

• Maintain the key individual / representative register

• Monitor and report on all FAIS matters to the business and the regulator

Requirements

• Relevant qualification such as BCom Law or LLB

• Must be a registered FSCA Compliance Officer (CAT I), preferably CAT II

• RE 1 Certificate

• 3–4 years’ compliance experience in the financial services industry

• Knowledge of FICA, FAIS, and other relevant legislation, regulations, and rules

• Strong corporate compliance knowledge and skills

• Own transport and valid driver’s licence (travel to adviser offices required)

• Computer literacy in MS Office

Benefits