Compliance Officer - #366591

CA Financial Appointments

Date: 4 days ago
City: Cape Town, Western Cape
Contract type: Full time

Our client, a top investment management team, seeks a Compliance Officer to join them. Role works closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure compliance implementation, but also ensuring a culture of compliance across the business.


  • Develop and implement compliance risk management plans
  • Compliance monitoring as required and within appropriate methodologies
  • Regulatory register maintenance
  • Ensuring compliance is held by staff as well as training as required
  • Supporting and ensuring an appropriate compliance culture
  • Regulatory reporting (FICA, FAIS etc.)
  • Assisting the business with any compliance training as required
  • Consult with business partners on any non-compliance issues
  • Be knowledgeable on asset management legislation, FICA, POPIA, FAIS, Financial Markets, JSE Rules, Financial Advisory, Intermediary Services Act, as required for Cat 2 and Cat 2A FSP


  • Minimum of a completed tertiary qualification or CPrac or CProf qualification
  • Minimum of 2 - 3 years' experience in an asset management compliance officer role
  • Registered with FSCA or under supervision as a FAIS Cat2 and/or Cat2A compliance officer
  • Strong base of regulatory knowledge within asset management industry
  • Ability to deal well with conflict
  • Excellent relationship building skills
  • Good team player

This is an Employment Equity designated opportunity, in line with our clients EE requirements.

Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.

see Duties & Responsibilities

Post a CV

Similar Jobs

Property Accountant

Communicate Finance, Cape Town, Western Cape
2 hours ago
Reference: CTF018489-CHA-1Are you an Accountant that completed SAIPA articles? Our client is seeking a qualified accountant with talent, a good sense of humor, and an upbeat personality to join their team. If this sounds like you, apply now and take the next step in your career! Job Description:The successful candidate will be responsible, but not limited to, the following:Monthly Consolidated...

Employee Services Specialist, Cape Town, Western Cape
1 day ago
Our Company:At we are passionate about our people, our technology, and are obsessed with customer success. Working together enables us to grow rapidly, win, and serve the largest brands in the world. We use cutting edge technology to solve real-world problems for our clients and continue to pull ahead of the pack as the leading SaaS platform for businesses...

Roads and Highways Engineer

Zutari, Cape Town, Western Cape
2 days ago
DescriptionZutari: Co-creating an engineered impact.Zutari (formerly known as Aurecon) is a well-established, management-owned engineering firm with almost 90 years' experience. As human-centered engineering consultants and advisors, we as trusted by clients, business partners, communities and other stakeholders across Africa, the Middle East and through their workshare with Aurecon Australia and New Zealand.We co-create engineering solutions that have a positive impact...