Compliance Officer

Numeral XII (Pty) Ltd.; Pretoria; On-site; ZAR 300,000 - 400,000; Full time

Job summary

A financial services company in Pretoria is seeking a Compliance Officer to oversee compliance with FAIS and FICA regulations. The ideal candidate will have 3-6 years of relevant experience, strong analytical skills, and the ability to implement effective compliance programs. This role offers a dynamic work environment with modern facilities.

Benefits

On-site gym

Two on-site restaurants

Modern working practices

Qualifications

• 3-6 years’ experience in a compliance role within financial services.
• Registration as a Compliance Officer with the FSCA is advantageous.
• Knowledge of compliance risk management and monitoring programs.

Responsibilities

• Implement and enforce compliance programs.
• Monitor FAIS compliance and regulatory conformance.
• Review documents and ensure ongoing statutory compliance.

Skills

Attention to detail

Excellent communication

Analytical skills

Project management

Team-oriented mindset

Education

Degree in Compliance, Law, or related field

Senior Certificate (Matric)

Tools

MS Office

Job description

Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed in managing, overseeing, and monitoring Financial Advisory and Intermediary Services (FAIS) compliance to ensure adherence? Are you skilled in evaluation and coaching? If so, we want you to join us as a Compliance Officer.

We’re Hiring!

Our mission is to unleash the potential in our team, believing that diversity and inclusion foster performance. As a Compliance Officer, you will be the custodian of company compliance and play a key role in risk mitigation within the Financial Services Provider space.

What can we offer you? Some of our benefits include:

• Modern, fit-for-purpose people practices.
• A state-of-the-art tech campus with an on-site gym.
• Two on-site restaurants offering a variety of meals and freshly brewed coffee.

Who is a good fit?

A detail-oriented specialist with a strong understanding of FAIS and FICA compliance, the financial services industry, and processes within an FSP environment. Excellent communication skills and the ability to provide constructive feedback and coaching are essential.

Key duties and responsibilities include:

1. Implementing and enforcing compliance programs.
2. Maintaining awareness of regulatory frameworks and obligations under FAIS, FICA, and related laws.
3. Consulting with operational managers to ensure legal and regulatory conformance.
4. Monitoring FAIS compliance, including license conditions and levies.
5. Performing sampling and monitoring activities.
6. Maintaining the register of representatives and informing the Registrar of changes.
7. Controlling AML and FATCA compliance.
8. Reviewing documents and advising on their acceptability.
9. Ensuring ongoing statutory compliance.
10. Monitoring and validating investor files, supporting investor teams, updating procedures, and participating in compliance committees.
11. Developing and revising policies and procedures for regulatory compliance.
12. Identifying compliance vulnerabilities, developing corrective actions, and providing guidance.
13. Reporting compliance status to management to mitigate risks.
14. Ensuring effective risk management and internal controls.

Required skills and attributes:

• Self-confidence and self-regulation.
• Trustworthiness and conscientiousness.
• Loyalty and organizational commitment.
• Assertiveness and attention to detail.
• Confidentiality, time management, and prioritization skills.
• Project management and organizational skills.
• Effective communication and active listening.
• Flexibility and willingness to assist beyond job scope.
• Enthusiasm for learning and self-improvement.
• Ability to work accurately under pressure.
• Analytical skills and accountability.
• Team-oriented mindset.

Minimum requirements:

• Computer literacy in MS Office.
• Senior Certificate (Matric).
• Registration as a Compliance Officer with the FSCA (advantageous).
• 3-6 years’ experience in a compliance role within financial services.
• Knowledge of compliance risk management and monitoring programs.
• Understanding of relevant regulations (FAIS, FICA, LTIA, PPR, POPIA).
• Degree in Compliance, Law, or related field.
• Proficiency in English and Afrikaans, both spoken and written.
• Willingness to work long hours when necessary.