Compliance Officer CAT II Job Midrand area,South Africa,Finance & Banking

Position: Compliance Officer CAT II |

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.

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