Compliance Officer

Our client is a reputable financial services company based in Cape Town. With a strong commitment to compliance and risk management, the company provides quality services to its clients at a regional level.

They adhere to the compliance requirements set by the Financial Sector Conduct Authority (FSCA) to ensure regulatory compliance and maintain high standards in the industry.

Our client is looking for a diligent and experienced Compliance Officer to join their dynamic team. As a Compliance Officer, you will play a crucial role in delivering a quality compliance and risk management service to clients.

Your responsibilities will include ensuring adherence to regulatory requirements, establishing a culture of compliance, and providing personalized compliance risk frameworks to clients. You will contribute to achieving the desired outcomes for clients and maintain a high level of service quality.

Duties and Responsibilities:


  • Deliver outsourced compliance functions to financial services clients.

  • Fulfill compliance functions in accordance with FAIS, FICA, and other applicable legislation and business requirements.

  • Establish a culture of compliance and provide a compliance risk framework to clients.

  • Assist clients in achieving Treating Customers Fairly (TCF) outcomes.

  • Provide services to Independent Financial Services Providers (FSPs) and Corporate clients.

  • Perform all functions to the set standards and deadlines as directed by the Regional Manager.

  • Provide clients with high-quality, personalized, and substantive reports.

  • Involve clients in compliance processes and provide post-monitoring feedback.

  • Maintain required records as per business guidelines.

  • Display positive behaviour and attitudes that contribute to the well-being and development of the regional team, the company, and its clients.

  • Source and sign up new clients to expand the company's compliance services.


Qualifications and Experience:

  • Must be registered as an FSCA (FSB) approved Compliance Officer.

  • Approval by the FSCA for Category I is essential.

  • Registered by the FSCA for Category II.

  • Holds a recognized Legal or Accounting degree.

  • Minimum of 3 years' proven experience in compliance or risk management within the financial services industry.

  • Experience working with Category I and Category II FSPs is required.


Competencies and Skills:

  • Good working knowledge of compliance legislation, including FICA and FAIS.

  • Understanding and knowledge of risk management principles.

  • Exceptional verbal and written communication skills.

  • Ability to work under pressure, independently, and as part of a team.

  • Proficient in delivering effective presentations.



Apply for the Job here: https://www.workinsouthafrica.com/jobs/compliance-officer/

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