Compliance Officer CAT 1

Overview

Compliance Officer CAT 1 Jobs in Cape Town, Western Cape 7400 at Staff Concepts

Full Job Description

Job description:

Our client is currently recruiting for a Category 1 Operational Compliance Officer position. Reporting to the Chief Legal and Compliance Officer, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence (long- and short-term assurance, collective investments and stockbroking).

Minimum requirements:

· Relevant qualification such as B Com Law or LLB

· Must be a registered and FSCA Compliance Officer (CAT 1)

· RE 1 Certificate

· 3 – 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

· Relevant experience working with Financial Advisers / Financial Planners

· Computer literate in MS Office

Responsibilities:

· Maintain a compliance framework in collaboration with the relevant stakeholders

· Identify potential compliance breaches and investigate compliance irregularities or areas of concern

· Review, register and resolve complaints

· Ensure compliance documents are uploaded on the relevant portals

· Ensure compliance records are up to date

· Review and resolve Fit and Proper queries

· Maintain the compliance procedures and manuals

· Analyse information and pro-actively suggest improvements to ensure compliance process is followed in accordance with the GCOC under FAIS

Competencies required:

Interpersonal, communication and report writing skills

Ability to work independently and as part of team

Ability to operate in a high-performance environment at different levels

Client relationship building skills.

Job Type: Full-time

Pay: R650 000,00 per year

Application Question(s):

Do you have a RE1

Are you registered and FSCA Compliance Officer (CAT 1)

Work Location: In person

Title: Compliance Officer CAT 1

Company: Staff Concepts

Location: Cape Town, Western Cape 7400

Category: