Compliance Officer
Cape Town, Western Cape, South Africa
Job Description
Our client, a top investment management team, seeks a Compliance Officer to join them. Role works closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure compliance implementation, but also ensuring a culture of compliance across the business.Responsibilities:
- Develop and implement compliance risk management plans
- Compliance monitoring as required and within appropriate methodologies
- Regulatory register maintenance
- Ensuring compliance is held by staff as well as training as required
- Supporting and ensuring an appropriate compliance culture
- Regulatory reporting (FICA, FAIS etc.)
- Assisting the business with any compliance training as required
- Consult with business partners on any non-compliance issues
- Be knowledgeable on asset management legislation, FICA, POPIA, FAIS, Financial Markets, JSE Rules, Financial Advisory, Intermediary Services Act, as required for Cat 2 and Cat 2A FSP
- Minimum of a completed tertiary qualification or CPrac or CProf qualification
- Minimum of 2 - 3 years' experience in an asset management compliance officer role
- Registered with FSCA or under supervision as a FAIS Cat2 and/or Cat2A compliance officer
- Strong base of regulatory knowledge within asset management industry
- Ability to deal well with conflict
- Excellent relationship building skills
- Good team player
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Job Detail
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Job IdJD1311837
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IndustryNot mentioned
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Total Positions1
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Job Type:Full Time
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Salary:Not mentioned
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Employment StatusPermanent
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Job LocationCape Town, Western Cape, South Africa
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EducationNot mentioned