Compliance Office - CAT 1 | Tygervalley

MINIMUM REQUIREMENTS QUALIFICATIONS & WORK EXPERIENCE

A Legal / Accounting / Financial degree.

Must be approved by the FSCA for Category I.

Registered as a FSCA (FSB) approved Compliance Officer is essential.

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

Category I FSP experience.

A valid drivers licence.

COMPLIANCE DUTY AND RESPONSIBILITY

Outsourced compliance function delivered to financial services clients.

Fulfil compliance function required in terms of FAIS, FICA, and other applicable legislation and business requirements.

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

Assist clients to achieve the TCF outcomes.

Services to be delivered to independent FSPs.

Perform all functions to the standard and deadlines set by Regional Manager.

Provide clients with high quality, personalised and substantive reports.

Include clients in compliance processes and provide post monitoring feedback.

Maintain records as required by the business.

Display behaviour and attitudes that positively contributes to the well-being and development of the regional team, the company, and its clients.

Sourcing and signing up of new clients.

COMPETENCIES AND SKILLS

A good working knowledge of compliance legislation, namely FAIS and FICA.

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 presentation skills.