Candidate with an LLB and completed articles and a keen interest in Compliance and preferably relevant experience in the Wealth/Asset management environment, required for this Independent Financial Service Provider, to kick-start your compliance career.

Minimum requirements:
• LLB + Articles essential
• Previous compliance experience/exposure advantageous
• Experience within the wealth/asset management industry advantageous
• Current Financial Service Industry experience preferred

Responsibilities:
• Deal with Fit & Proper enquiries from Financial Planners
• Handle and register complaints from clients
• Maintain a leading edge compliance framework – working closely with HR and key stakeholders
• Liaise with Regulatory Officers
• Identify potential compliance breaches and investigate
• Maintain detailed records
• Monthly reporting
• Reserve Bank Reporting
• FSB reporting
• National Credit Regulator reporting
• Compliance in respect of bonds’ transactions and monitoring thereof
• Implement policies and procedures
• Keep abreast with current and new legislation
• Attend to client investigation
• Maintain compliance procedure and manuals
• Report to Chief Group Compliance Officer/Divisional Head on compliance status in company
• Create legislative awareness in business