Compliance Specialist

Compliance Specialist Stellenbosch Cape Town

Our client is a leading financial services firm dedicated to maintaining the highest standards of compliance and risk management. They are currently seeking a Compliance Specialist to join their team and oversee the Acceptance and Continuance of Client Relationships, along with managing various compliance-related functions.

Salary : Market Related

Minimum Requirements :

1. A qualification in Compliance, Risk, Finance, or Audit.
2. Previous experience in risk management, or compliance roles is highly beneficial.
3. Exposure to a professional services or audit firm environment is an asset.
4. Proficiency in Microsoft Excel, Word, and PowerPoint.
5. Strong written and verbal communication skills in English.

Key Responsibilities :

1. Drive an efficient and effective onboarding process for clients across assigned business units.
2. Collect and input accurate, timely information into the CRM system while ensuring data integrity.
3. Continuously monitor the re-acceptance of clients annually and proactively initiate the process.
4. Periodically verify group structures of clients and notify the lead if there are any changes.
5. Manage the communication process related to the Acceptance and Continuance of Client Relationships, including sending and tracking Conflict of Interest (COI) checks when required.
6. Maintain proactive engagement and follow-ups with management.
7. Conduct group structure research, directorship verifications, and other pre-screening checks using available tools.
8. Interpret findings effectively and take necessary follow-up actions linked to additional compliance processes.

If you meet the above requirements and are interested in this exciting opportunity, please apply online at FROGG Recruitment.