Compliance Officer – Financial Services & Risk

Carrick Wealth; Cape Town; On-site; ZAR 300 000 - 400 000; Full time

Job summary

A leading wealth management firm in Cape Town is seeking a Compliance Officer to assist in establishing a robust compliance function. Candidates should have 2–5 years of experience in the financial services industry and be capable of supervising compliance protocols. The role requires excellent analytical, organizational, and communication skills, with strong computer literacy. Join a dynamic team focused on regulatory adherence and compliance excellence.

Qualifications

• Mid-level role requiring compliance experience in financial services industry.
• 2–5 years compliance-related experience necessary.
• Capable of registration as a FAIS Compliance Officer.

Responsibilities

• Assist in establishing robust compliance functions.
• Draft and maintain Compliance Risk Monitoring Plans.
• Monitor compliance with key regulations and develop corrective actions.

Skills

Compliance experience in financial services

Strong computer literacy in MS Office

Excellent numeracy skills

Analytical and logical thinking skills

Excellent communication skills (verbal and written)

Education

B Com (Law)/LLB or equivalent FSCA-recognised qualification

FSCA RE Exams re5 essential

Job description

A leading wealth management firm in Cape Town is seeking a Compliance Officer to assist in establishing a robust compliance function. Candidates should have 2–5 years of experience in the financial services industry and be capable of supervising compliance protocols. The role requires excellent analytical, organizational, and communication skills, with strong computer literacy. Join a dynamic team focused on regulatory adherence and compliance excellence.