Compliance Officer

Yazoo Recruitment; Cape Town; On-site; ZAR 600 000 - 800 000; Full time

Job summary

A recruitment agency seeks a Compliance Officer in Cape Town. The ideal candidate must have a B.Com or LLB Degree, RE1 Certificate, 5 years' compliance experience in the Financial Services Industry, and be registered with FSCA. Responsibilities include ensuring compliance with regulations, preparing reports, and managing compliance projects. Knowledge of FAIS and CISCA is essential. This position offers an exciting opportunity in a dynamic asset management company.

Qualifications

• Minimum 5 years’ compliance experience in the Financial Services Industry.
• Registration with the FSCA as a Compliance Officer.
• Regulatory knowledge of FAIS, CISCA and Asset management.

Responsibilities

• Compiling compliance statistical reports.
• Ensure compliance implementation and maintenance of compliance risk management and monitoring plan.
• Monitoring primary legislation impacting the business.

Skills

Regulatory knowledge

Compliance monitoring

Legislative analysis

Risk management

Education

B.Com or LLB Degree

RE1 Certificate

Job description

Compliance Officer required in Constantia, Cape Town.

Compliance Officer with B.Com or LLB Degree, RE1 Certificate and registration with the FSCA as a Compliance Officer, and minimum 5 years’ compliance experience in the Financial Services Industry, required for an Asset Management Company based in Constantia, Cape Town.

Be responsible for compliance activities across the company, engaging with management to ensure internal processes align with regulatory requirements, advise on regulatory changes and matters.

Minimum requirements:

• Relevant qualification – Degree in Finance, Business finance, Investments, Financial Planning Law, Financial Science, Investment Management or Law essential
• RE1 essential
• Minimum 5 years’ experience within the financial services industry required
• Registration with the FSCA as a Compliance Officer essential
• Regulatory knowledge of FAIS, CISCA and Asset management required
• AML monitoring (FICA) experience required

Duties and Responsibilities:

• Compiling compliance statistical reports
• Ensure compliance implementation and maintenance of compliance risk management and monitoring plan
• Monitoring primary legislation impacting the business
• Analyse, interpret and implement new legislation
• Review marketing material
• Compliance queries
• Manage ad compliance projects
• Application of the TCF outcomes
• Maintain FAIS compliance procedures and manuals for the FSP
• Maintain Key Individual / Representative register
• Monitoring and reporting on all FAIS matters

If you are a South African citizen & your CV meets the above criteria, please send your CV.