Operations Compliance Officer | Cape Town

The Recruitment Council; Cape Town; On-site; ZAR 400,000 - 600,000; Full time

Job summary

A recruitment agency in Cape Town is looking for a Compliance Officer to ensure adherence to compliance regulations in financial services. You will maintain compliance procedures and identify any breaches, requiring a B Com Law or LLB and experience in compliance within the industry. Strong communication skills and the ability to work independently are essential. This role offers a challenging environment with opportunities for growth.

Qualifications

• Must be a registered and FSCA Compliance Officer (CAT 1).
• 3 - 4 years compliance experience in the financial services industry.
• Knowledge of FICA, FAIS and relevant legislation.

Responsibilities

• Maintain a compliance framework in collaboration with stakeholders.
• Identify potential compliance breaches and investigate irregularities.
• Ensure compliance documents are uploaded on relevant portals.

Skills

Interpersonal skills

Communication skills

Report writing skills

Client relationship building skills

Education

B Com Law or LLB

Tools

MS Office

Job description

Job description :

We are currently recruiting for a Category I Operational Compliance Officer position. Reporting to the Chief Legal and Compliance Officer, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser offices (long- and short-term assurance, collective investments and stockbroking).

Responsibilities :

Maintain a compliance framework in collaboration with the relevant stakeholders

Identify potential compliance breaches and investigate compliance irregularities or areas of concern

Review, register and resolve complaints

Ensure compliance documents are uploaded on the relevant portals

Ensure compliance records are up to date

Review and resolve Fit and Proper queries

Maintain the compliance procedures and manuals

Analyse information and pro-actively suggest improvements to ensure compliance process is followed in accordance with the GCOC under FAIS ,

Minimum requirements :

Relevant qualification such as B Com Law or LLB

Must be a registered and FSCA Compliance Officer (CAT 1)

RE 1 Certificate

3 - 4 years compliance experience in the financial services industry

Knowledge of FICA, FAIS and relevant legislation, regulations and rules

Relevant knowledge, skills and corporate compliance experience

Relevant experience working with Financial Advisers / Financial Planners

Computer literate in MS Office

Competencies required :

Interpersonal, communication and report writing skills

Ability to work independently and as part of team

Ability to operate in a high-performance environment at different levels

Client relationship building skills.