Compliance Officer CAT II | Midrand

The Recruitment Council; Midrand; On-site; ZAR 300,000 - 600,000; Full time

Job summary

An established industry player is seeking a dedicated Category II Compliance Officer to enhance their compliance framework. This role involves ensuring adherence to legislative regulations and maintaining quality assurance across various financial services. You will be responsible for developing compliance strategies, investigating potential breaches, and conducting audits to uphold the highest standards of compliance. If you have a strong background in compliance within the financial services sector and possess excellent interpersonal and communication skills, this is a fantastic opportunity to make a significant impact in a dynamic environment.

Qualifications

• 3-5 years of compliance experience in financial services required.
• In-depth knowledge of FICA, FAIS, and relevant legislation is essential.

Responsibilities

• Develop and maintain a compliance framework with stakeholders.
• Identify and investigate compliance breaches and areas of concern.
• Conduct compliance audits and report findings.

Skills

Interpersonal Skills

Communication Skills

Report Writing Skills

Client Relationship Building

Teamwork

Independence

Education

BCom Law or equivalent

Registered FSCA Compliance Officer (CAT II)

RE 1 and RE 3 certifications

Tools

MS Office

Job description

Our client is seeking a Category II Compliance Officer to join their team. This position reports to the Head of Compliance – Distribution and involves ensuring adherence to relevant legislative regulations and maintaining quality assurance in the client’s offices, which cover long-term and short-term assurance, collective investments, and stockbroking.

Key Responsibilities:

1. Develop and maintain a comprehensive compliance framework with relevant stakeholders.
2. Identify and investigate potential compliance breaches and areas of concern.
3. Review, register, and resolve client complaints.
4. Maintain the key individual/representative register.
5. Ensure that all compliance records are accurate and up-to-date.
6. Address and resolve Fit and Proper queries.
7. Update and maintain compliance procedures and manuals.
8. Conduct compliance audits at Adviser offices and report findings.

Qualifications and Experience:

1. Relevant qualification such as BCom Law or equivalent.
2. Registered FSCA Compliance Officer (CAT II).
3. RE 1 and RE 3 certifications.
4. 3 – 5 years of compliance experience in the financial services industry.
5. In-depth knowledge of FICA, FAIS, and relevant legislation, regulations, and rules.
6. Experience in corporate compliance and working with Financial Advisers/Planners.
7. Proficiency in MS Office.

Skills and Competencies:

1. Strong interpersonal, communication, and report writing skills.
2. Ability to work independently and as part of a team.
3. Capable of operating in a high-performance environment at various levels.
4. Excellent client relationship-building skills.