Senior Analyst Investment Providers (Pretoria)

FSCA South Africa; Pretoria; On-site; ZAR 300,000 - 600,000; Full time

Job summary

FSCA South Africa is seeking a Compliance Officer to assist in ensuring adherence to regulations set by the Financial Advisory and Intermediary Services (FAIS) Act. The role involves monitoring compliance, analyzing financial documents, and conducting inspections, ensuring that Financial Services Providers protect consumers effectively. With a focus on compliance management, candidates must hold an LLB, B Com or B Tech with Accounting and possess a strong understanding of the financial sector.

Qualifications

• Minimum 3 years of relevant experience in financial services industry or compliance management.
• Good knowledge of the FAIS Act and regulatory framework.
• Understanding of Crypto Assets Services Providers is required.

Responsibilities

• Monitor compliance with legislation for Financial Services Providers.
• Analyse financial statements and statutory reports.
• Assist in the implementation of a Conduct Risk Framework.

Skills

Judgment

Communication

Interpersonal skills

Problem Analysis

Information Gathering

Customer Relations

Education

LLB or B Com or B Tech with Accounting

Job description

Job Location : Gauteng, Pretoria Deadline : July 17, 2025 Quick Recommended Links

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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 :

• Monitor compliance with legislation to ensure sound and efficient Financial Services Providers and the protection of consumers;
• Analyse financial statements and other statutory reports of Financial Services Providers;
• Ensure that following a thorough analysis, matters are referred for regulatory actions where applicable;
• Assist Manager with theme work and conduct research in terms of risk base supervision approach;
• Identify and report trends in the financial services sector with possible impact on the FSCA’s regulatory objectives;
• Take part in the implementation of a Conduct Risk Framework as part of supervision and monitoring;
• Perform onsite inspection in terms of risk-based supervision approach;
• Assist junior staff with planning and performance on onsite inspection;
• Liaison with Financial Services Providers; and
• 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 judgement and a confident and decisive approach; problem analysis; information gathering; communication skills; good interpersonal skills and emotional intelligence; customer relations and persuasiveness skills.

Requirements

• An LLB or B Com or B Tech degree with Accounting as a major with at least 3 years relevant experience of financial services industry or compliance management. The candidate must have a good knowledge and exposure to the financial sector, a good understanding of the FAIS Act of 2002. Good knowledge and / or experience of the FAIS regulatory framework and understanding of the insurance or banking industry is essential. Knowledge and understanding of Crypto Assets Services Providers (CASPs) is required.

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