Senior Analyst investment Providers

FSCA South Africa; Pretoria; On-site; ZAR 300,000 - 500,000; Full time

Job summary

A leading financial regulatory body in South Africa is seeking a Compliance Officer to ensure that Financial Services Providers comply with relevant legislation. In this role, you will monitor compliance, analyze financial reports, and conduct inspections, contributing significantly to the protection of consumers and the integrity of financial services. Candidates with strong analytical skills and a commitment to compliance are encouraged to apply, especially those from marginalized groups.

Qualifications

• High level of judgment and decisiveness.
• Effective communication and interpersonal skills.
• Ability to analyze and gather information.

Responsibilities

• Monitor compliance with financial legislation.
• Analyze financial statements and statutory reports.
• Perform onsite inspections and assist junior staff.

Skills

Judgment

Problem Analysis

Information Gathering

Communication Skills

Interpersonal Skills

Customer Relations

Persuasiveness

Job description

Purpose Of The Job

To assist the department in ensuring that the approved authorised Financial Services Providers (FSPs) and their Compliance Officers comply with the Financial Advisory and Intermediary Services (FAIS) legislation and its subordinate legislation. The person appointed to this position will report to the Manager.

Key Performance Areas

1. Monitor compliance with legislation to ensure sound and efficient Financial Services Providers and the protection of consumers;
2. Analyse financial statements and other statutory reports of Financial Services Providers;
3. Ensure that following a thorough analysis, matters are referred for regulatory actions where applicable;
4. Assist Manager with theme work and conduct research in terms of risk-based supervision approach;
5. Identify and report trends in the financial services sector with possible impact on the FSCA’s regulatory objectives;
6. Take part in the implementation of a Conduct Risk Framework as part of supervision and monitoring;
7. Perform onsite inspections in terms of risk-based supervision approach;
8. Assist junior staff with planning and performance on onsite inspections;
9. Liaise with Financial Services Providers; and
10. Perform administrative or other activities relating to the regulation framework.

Other Key Competencies

The candidate must demonstrate the following skills and attributes: a high level of judgment and a confident and decisive approach; problem analysis; information gathering; communication skills; good interpersonal skills and emotional intelligence; customer relations and persuasiveness skills.

FSCA is committed to increasing the representation of marginalized groups in line with its Employment Equity Plan. Persons with disabilities are encouraged to apply.

Please note that correspondence and communication will only be conducted with shortlisted candidates and that the FSCA reserves the right not to appoint if a suitable candidate is not identified.