Job Description

Job Summary Our client is seeking a Category II Compliance Officer to join their team. This position reports to the Head of Compliance Distribution and involves ensuring adherence to relevant legislative regulations and maintaining quality assurance in the client's offices, which cover long-term and short-term assurance, collective investments, and stockbroking. Key Responsibilities: Develop and maintain a comprehensive compliance framework with relevant stakeholders. Identify and investigate potential compliance breaches and areas of concern. Review, register, and resolve client complaints. Maintain the key individual/representative register. Ensure that all compliance records are accurate and up-to-date. Address and resolve Fit and Proper queries. Update and maintain compliance procedures and manuals. Conduct compliance audits at Adviser offices and report findings. Qualifications and Experience: Relevant qualification such as BCom Law or equivalent. Registered FSCA Compliance Officer (CAT II). RE 1 and RE 3 certifications. 3 5 years of compliance experience in the financial services industry. In-depth knowledge of FICA, FAIS, and relevant legislation, regulations, and rules. Experience in corporate compliance and working with Financial Advisers/Planners. Proficiency in MS Office. Skills and Competencies: Strong interpersonal, communication, and report writing skills. Ability to work independently and as part of a team. Capable of operating in a high-performance environment at various levels. Excellent client relationship-building skills.The Recruitment CouncilRecruiter

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