Compliance Officer

The Recruitment Council; Pretoria; On-site; ZAR 420,000 - 650,000; Full time

Job summary

The Recruitment Council is assisting a national supplier of practice management, business development services and compliance monitoring in Pretoria. They are seeking an experienced Compliance Officer to deliver outsourced compliance to financial services clients and ensure adherence to FAIS and FICA.

You will establish a culture of compliance, provide reports, and support clients in Treating Customers Fairly (TCF) outcomes while meeting deadlines set by the Regional Manager.

Qualifications

• Completed degree in legal, accounting or finance.
• FSCA (FSB) Category I compliance officer registration/approval required.
• Minimum 3 years of compliance or risk management experience in financial services.

Responsibilities

• Deliver an outsourced compliance function to financial services clients (independent FSPs and corporate clients).
• Ensure compliance with FAIS, FICA and applicable legislation and business requirements.

Skills

Compliance knowledge

Education

Legal/Accounting/financial degree

Job description

Role: Compliance Officer
Category: Compliance
Location: Pretoria
Salary: Market-related

Our client is a national supplier of practice management, business development services, and compliance monitoring across South Africa. Their core mission is to keep businesses in business by assisting independent financial advisors, corporate FSPs, and other sectors to improve productivity, remain compliant, and prosper. They pride themselves on employing client-focused, high-caliber individuals who set high standards and are willing to go the extra mile.

Responsibilities

• Deliver an outsourced compliance function to financial services clients (including independent FSPs and corporate clients).
• Fulfil the compliance function required in terms of FAIS, FICA, and other applicable legislation and business requirements.
• Establish a culture of compliance and provide a compliance risk framework to clients.
• Assist clients in achieving Treating Customers Fairly (TCF) outcomes.
• Perform all functions according to the standards and deadlines set by the Regional Manager.
• Provide clients with high-quality, personalized, and substantive reports.
• Involve clients in compliance processes and provide post-monitoring feedback.
• Maintain thorough records as required by the business.
• Positively contribute to the well-being and development of the regional team, the company, and its clients.
• Actively participate in sourcing and signing up new clients.

Minimum Requirements

• A completed Legal, Accounting, or financial degree.
• Essential: Must be registered and approved by the FSCA (FSB) as a Compliance Officer for Category I.
• Preference will be given to candidates who additionally hold Category II approval.
• A minimum of 3 years proven experience in compliance or risk management within the financial services industry.
• A valid drivers license is required.