Compliance Officer

Responsibilities:

• Compiling of compliance and statistical reports to the business, clients and regulators
• Ensure compliance implementation and maintenance of the compliance risk management and monitoring plan
• Monitoring of the primary legislation impacting the business
• Analyse, interpret and implement new legislation
• Address compliance queries from the business
• Managing compliance projects from start to finish
• Ensure the application of the TCF outcomes
• Maintain FAIS compliance procedures and manuals
• Maintaining the key individual / representative register
• Monitoring and reporting on all FAIS matters to the business and the regulator

Minimum requirements:

• Relevant qualification such as B Com Law or LLB
• Must be a registered and FSCA Compliance Officer (CAT 1), preferably CAT II
• RE 1 Certificate
• 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