Key Individual Officer

A Leading International Client based in Umhlanga, Durban South Africa, who specilaizes in, Asset and Wealth Management to Family Office, Tax and Succession Planning.

The client offers specialised and expert service in each of these disciplines, delivering a level of knowledge and planning that will exceed your expectations.


Requires the services of a Dynamic Specialist to join their super team.

Act with due care, skill and diligence in the execution of all duties...

- Act within the standards and rules set by legislation;
- Fulfil contractual obligations as agreed to;
- Management and Oversight of:
Statutory obligations of the FSP;
Rendering of financial services of the FSP and persons authorised to act on its behalf;
Business processes and operational ability.
- Instil a culture of treating customers fairly in all aspects of the business.

Key Individuals are required to ensure that the FSP has implemented correct and appropriate processes in line with the requirements of the legislation and the principles of TCF.

The operational ability of the FSP must be regularly reviewed and any risks, non-compliant areas and recommendations reported to the members/shareholders/directors.

Key Individuals must make sure that there is ongoing monitoring of the risks which face the business and manage and oversee the implementation of solutions or actions to mitigate such risks.

DOCUMENTS TO BE PROVIDED

Certified ID
Copies of degree certificates – certified
Both the regulatory exam certificates and FSCA complaint
Reference letters to support the application from a person of management designation
Evidence of class of business training for the below:
Shares
Money market instruments
Warrants, certificates and other instruments
Bonds
Derivative instruments
Participatory Interests in one or more collective investment schemes
Short-term Deposits
Securities and instruments
Participatory interest in a hedge fund

Tertiary qualification ie. Degree/diploma (preferably a commercial or legal one).
Have passed the RE3 & RE5 –FAIS regulatory exams.
Have more than 3 years’ experience as a representative or a KI on an authorised FSP in the below product categories.
Have attended class of business training in the below categories.*
Must show management experience in the below categories.*
Experience in the management of representatives will be a plus.

* Product Categories:

Shares
Money market instruments
Warrants, certificates and other instruments
Bonds
Derivative instruments
Participatory Interests in one or more collective investment schemes
Short-term Deposits
Securities and instruments
Participatory interest in a hedge fund

Market Related

Very attractive package for qualified candidates