CAT2 Compliance Officer

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 

Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.  

---