Compliance Officer CAT II | Midrand

The Recruitment Council
Midrand
ZAR 300 000 - 400 000
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.
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