Assistant Compliance Officer - Cape Town Verfied

Salary Negotiable Cape Town, Western Cape Cape Town, Western Cape 8 days ago 23-11-2021 6:58:18 PM
Assistant Compliance Officer
Cape Town

• Assist in monitoring compliance with applicable legislation and internal requirements
• Review and comment on draft Supplemental Deeds
• Monitor compliance with Supplemental Deeds, ASISA Mandates and relevant legislative requirements
• Assist with the compilation and submission of the quarterly and annual FSB reporting
• Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
• Analyse draft legislation, comment to the applicable persons, inform and comment to the applicable employees
• Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner
• Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of breaches and other compliance and regulatory issues
• Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviour.

• Relevant tertiary qualification
• A minimum of 4 years’ experience in the Collective Investment Scheme environment and working experience with regards to the Collective Investments Control act and sub-ordinate legislation
• Certificate in Compliance Management would be an advantage
• Financial Advisory and Intermediary experience will be advantageous

Experience working with unit trusts/ CISCA (Collective Investment Schemes Act) is non-negotiable m23.11si