Compliance Officer

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

Requirements:

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

This is an Employment Equity designated opportunity, in line with our clients EE requirements.

Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.