Overview
Compliance Officer Cat Ii Jobs in Midrand, South Africa at Findojobs South Africa
Position: Â Compliance Officer Cat Ii |
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 maintainingquality assurancein 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 andup-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.
Excellentclient relationship-building skills.
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Title: Compliance Officer Cat Ii
Company: Findojobs South Africa
Location: Midrand, South Africa
Category: Finance & Banking
