CAT 1 Compliance Officer (Under Supervision CAT II) - Midrand Verfied

Salary Negotiable Midrand, Gauteng Midrand, Gauteng more than 14 days ago 02-09-2021 10:45:50 AM
Compliance Officer with minimum 5 years’ Corporate Compliance experience working with Financial Advisor and Financial Planners in a Distribution environment within the Financial Services Industry, required to start asap.
Minimum requirements:
• Relevant qualification – B.Comm Law or equivalent
• Minimum 5 years’ corporate compliance experience
• Registration with the FSCA as a Category I Compliance Officer required – will also consider candidates working under supervision for Category II
• SAIFM Compliance certification required
• Knowledge of FICA, FAIS and relevant legislation, regulations and rules required
• Corporate compliance experience working with Financial Advisers/Planners required
• Financial service industry experience required
Responsibilities:
• Implementation of relevant legislations, drive quality assurance and compliance adherence (long term and short term insurance, collective investments and stockbroking)
• Maintain compliance framework in collaboration with all stakeholders
• Identify compliance breaches and investigate irregularities
• Review, register and resolve complaints received from clients
• Maintain Key Individual / Representative register
• Ensure compliance records are updated
• Review and resolve Fit & Proper queries
• Maintain compliance procedure and manuals
• Conduct and report on compliance audits at Adviser offices