Compliance Officer (Category I) | Tyger Valley

OurClient is on the lookout for a Compliance Officer (Category I) to provide expert compliance and risk management services to financial services clients and FICA-accountable institutions. This role ensures adherence to FSCA regulatory requirements, particularly FAIS and FICA, while helping clients establish a strong compliance framework. You will play a key role in monitoring compliance, mitigating risks, and fostering a compliance-driven culture within independent FSPs and corporate clients.

Key Responsibilities:

1. Deliver outsourced compliance services to financial services clients.
2. Ensure regulatory compliance with FAIS, FICA, and other applicable laws.
3. Develop and implement compliance risk frameworks tailored to client needs.
4. Support clients in meeting Treating Customers Fairly (TCF) outcomes.
5. Prepare and deliver detailed compliance reports with actionable insights.
6. Conduct compliance monitoring, post-monitoring feedback, and record-keeping.
7. Maintain a high standard of service in line with Regional Manager expectations.
8. Contribute to team development and client relationship management.
9. Identify and onboard new clients, expanding the company’s compliance service offering.

Qualifications & Experience:

1. Degree in Law, Accounting, Finance, or a related field.
2. FSCA-approved Compliance Officer (essential).
3. Must be approved by the FSCA for Category I compliance functions.
4. Minimum 3 years’ experience in compliance or risk management within financial services.
5. Strong Category I FSP compliance expertise.
6. Valid driver’s licence required.

Skills & Competencies:

1. In-depth knowledge of FAIS and FICA regulations.
2. Strong understanding of risk management principles.
3. Excellent written and verbal communication skills.
4. Ability to work independently and collaboratively under pressure.
5. Strong presentation and reporting skills.

If you are a compliance professional passionate about helping businesses navigate regulatory landscapes, apply now!