Senior Compliance Officer - Financial Services

Placements24; Queenstown; On-site; NZD 97,000 - 129,000; Full time

Benefits offered by this job

Competitive salary & bonus

Medical aid & retirement fund

Professional development

Stable employer

Location in Queenstown

Generous annual leave

Job summary

Placements24 is seeking a Senior Compliance Officer for their Queenstown, Eastern Cape office to ensure adherence to FAIS, FICA, POPIA and other financial regulations. You will develop, implement, and monitor compliance programs, investigate breaches, and guide regulatory matters.

The role requires a law/finance/business degree, at least five years in financial services compliance, and strong analytical skills.

Qualifications

• Bachelor's degree in Law, Finance, Business Administration, or a related field.
• Minimum of 5 years of experience in a compliance role within the financial services industry.
• In-depth knowledge of South African financial regulations and compliance frameworks.
• Proficiency in compliance management software and MS Office Suite.

Responsibilities

• Develop, implement, and maintain robust compliance policies and procedures.
• Monitor adherence to relevant financial regulations (e.g., FAIS, FICA, POPIA).
• Conduct internal investigations into potential compliance breaches.
• Provide training and guidance to staff on compliance requirements and best practices.
• Prepare and submit regulatory filings and reports to relevant authorities.
• Assess and manage compliance risks across the organization.
• Stay up-to-date with changes in financial legislation and regulatory guidance.
• Liaise with regulatory bodies and external auditors on compliance matters.
• Advise senior management on compliance implications of business strategies and new products.

Skills

Regulatory compliance

Investigations

Policy development

Training

Regulatory reporting

Stakeholder liaison

Education

Bachelor's degree in Law/Finance/Business Admin

Compliance certifications

Tools

MS Office

Compliance software

Job description

About the Role

Our client, a prominent financial services provider, is seeking a dedicated and experienced Senior Compliance Officer to join their team. This office-based role in Queenstown, Eastern Cape is essential for ensuring the firm adheres to all relevant financial regulations, laws, and internal policies. You will play a critical part in developing, implementing, and monitoring compliance programs, conducting investigations, and providing guidance on regulatory matters. The ideal candidate possesses a thorough understanding of the financial services landscape, strong analytical skills, and a commitment to ethical practices. This is a vital position for an individual looking to contribute to the integrity and regulatory soundness of a key financial player in the Queenstown, Eastern Cape region.

Key Responsibilities

• Develop, implement, and maintain robust compliance policies and procedures.
• Monitor adherence to relevant financial regulations (e.g., FAIS, FICA, POPIA).
• Conduct internal investigations into potential compliance breaches.
• Provide training and guidance to staff on compliance requirements and best practices.
• Prepare and submit regulatory filings and reports to relevant authorities.
• Assess and manage compliance risks across the organization.
• Stay up-to-date with changes in financial legislation and regulatory guidance.
• Liaise with regulatory bodies and external auditors on compliance matters.
• Advise senior management on compliance implications of business strategies and new products.

Requirements

• Bachelor's degree in Law, Finance, Business Administration, or a related field.
• Relevant compliance certifications are a plus.
• Minimum of 5 years of experience in a compliance role within the financial services industry.
• In-depth knowledge of South African financial regulations and compliance frameworks.
• Strong analytical, investigative, and problem-solving skills.
• Excellent written and verbal communication skills, with the ability to explain complex regulations.
• High ethical standards and a strong sense of integrity.
• Ability to work independently and manage multiple priorities effectively.
• Proficiency in compliance management software and MS Office Suite.
• Must be able to work from our Queenstown, Eastern Cape office.

Benefits

• Competitive salary and performance-related bonus.
• Comprehensive medical aid and retirement fund benefits.
• Opportunities for professional development and further certifications.
• A stable and respected financial institution.
• Opportunity to shape compliance practices.
• Supportive team environment.
• Location in Queenstown, Eastern Cape.
• Generous annual leave.