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.

Responsibilities:

  • 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

Requirements:

  • 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.



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