CAT2 Compliance Officer - CA Financial Appointments
South Africa 2 months ago Permanent Salary Negotiable
CAT2 Compliance Officer
CA Financial Appointments
South Africa
Date Created : 2 months ago
Job Type : Permanent
Salary : Salary Negotiable
My client is currently recruiting for a Category II Compliance Officer. Reporting to the Head: Compliance – Distribution, 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:
- Manage compliance structure with stakeholders
- Determine possible compliance breaches and explore compliance irregularities and concerns
- Review and resolve complaints and Fit and Proper queries
- Maintain representative register
- Verify and keep compliance records up to date
- Maintain compliance procedures and manuals
- Manage and report on compliance audits
Requirements:
- Must have a BCom Law or equivalent qualification
- Must be a registered FSCA Compliance Officer, and have all appropriate SAIFM Compliance certification
- Minimum of 3-5 years compliance experience in financial services industry
- Must be knowledgeable of FICA, FAIS and relevant legislation, regulations and rules
- Strong communication and report writing skills
- Excellent client relationship building skills
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