Compliance Officer CAT II | Midrand
Our client is seeking a Category II Compliance Officer to join their team. This position reports to the Head of Compliance – Distribution and involves ensuring adherence to relevant legislative regulations and maintaining quality assurance in the client's offices, which cover long-term and short-term assurance, collective investments, and stockbroking.
Key Responsibilities:
- Develop and maintain a comprehensive compliance framework with relevant stakeholders.
- Identify and investigate potential compliance breaches and areas of concern.
- Review, register, and resolve client complaints.
- Maintain the key individual/representative register.
- Ensure that all compliance records are accurate and up-to-date.
- Address and resolve Fit and Proper queries.
- Update and maintain compliance procedures and manuals.
- Conduct compliance audits at Adviser offices and report findings.
Qualifications and Experience:
- Relevant qualification such as BCom Law or equivalent.
- Registered FSCA Compliance Officer (CAT II).
- RE 1 and RE 3 certifications.
- 3 – 5 years of compliance experience in the financial services industry.
- In-depth knowledge of FICA, FAIS, and relevant legislation, regulations, and rules.
- Experience in corporate compliance and working with Financial Advisers/Planners.
- Proficiency in MS Office.
Skills and Competencies:
- Strong interpersonal, communication, and report writing skills.
- Ability to work independently and as part of a team.
- Capable of operating in a high-performance environment at various levels.
- Excellent client relationship-building skills.
