Compliance Associate

Conova Financial Recruitment; Cape Town; On-site; ZAR 240,000 - 360,000; Full time

Job summary

Conova Financial Recruitment represents an established Wealth Management firm seeking a Compliance Administrator. You will support the internal compliance team, ensuring that all compliance activities are carried out accurately and efficiently, and you will collaborate with multiple departments to uphold FAIS and FICA compliance.

Responsibilities include drafting and updating compliance documentation, maintaining records for audits, coordinating remediation projects, and managing Commpay and

Qualifications

• Degree or compliance qualification from a reputable institution.
• 3+ years in an admin role with FAIS & FICA compliance experience.
• Proficient in MS Office; RE5 or SharePoint advantageous.
• Accuracy, attention to detail and ability to work under pressure.

Responsibilities

• Assist with drafting and updating compliance documentation, including policies, procedures, risk assessments and audit reports.
• Maintain accurate compliance records and registers, ensuring documentation is up to date and readily available for audits.
• Coordinate compliance projects and remediation activities, monitor progress and ensure outstanding issues.
• Manage Commpay and Xplan commission lodgements for Wealth Managers, including capturing estimates and actuals, liaising with the Fees Department, reviewing submissions and ensuring monthly lodgements are completed accurately.

Skills

Attention to detail

Under pressure

Quality minded

Education

Relevant degree or compliance qualification

Tools

MS Excel

MS Word

Outlook

PowerPoint

SharePoint

RE5

Job description

About our Client

Our client is an established Wealth Management firm that provides a specialist solution to their client's individual financial needs by offering a comprehensive range of services and expertise to manage and grow their wealth.

About the Role

To provide support to the internal compliance team, ensuring that all compliance - related activities are carried out accurately and efficiently, as well as working closely with all departments to ensure legal compliance regarding specific laws.

Key responsibilities

• Assist with drafting and updating compliance documentation, including policies, procedures, risk assessments and audit reports.
• Maintain accurate compliance records and registers, ensuring documentation is up to date and readily available for audits.
• Coordinate compliance projects and remediation activities, monitor progress and ensure outstanding issues.
• Manage Commpay and Xplan commission lodgements for Wealth Managers, including capturing estimates and actuals, liaising with the Fees Department, reviewing submissions and ensuring monthly lodgements are completed accurately.

Requirements

• Relevant degree or tertiary risk/legal/or compliance related qualification from a reputable institution
• 3+ years of experience in an administrative role with specific focus in a FAIS & FICA compliance environment.
• Microsoft Suite (MS Excel, MS Word, Outlook & PowerPoint) skills
• RE5 (advantageous)
• SharePoint (advantageous)
• Accuracy
• Detail and quality oriented
• Perform well under pressure