Compliance Officer (Market Conduct)

Compliance Officer (Market Conduct)

About the Role
Were looking for a Compliance Officer to act as a trusted advisory partner within our second-line assurance function. This is an advisory role not a monitoring role youll embed regulatory requirements into business decision-making product design and operational practices across a large complex Investment Management environment.
Scope

• Advisory oversight across more than 6 legal entities representing approximately R880 billion in assets under management
• Regulatory frameworks including FAIS CISCA PFA LTI and POPIA

Key Responsibilities

• Provide practical solution-oriented compliance advice to operational product distribution and support teams
• Embed regulatory requirements into products services and customer journeys
• Identify regulatory and conduct risks; partner with the business on sustainable remediation
• Support fair customer outcomes and challenge practices that expose the business to regulatory harm
• Participate in change initiatives and projects addressing regulatory considerations upfront
• Maintain and enhance the Compliance Requirement Universe and related controls
• Track compliance breaches support root-cause analysis and escalation
• Prepare compliance reports for management and governance committees
• Support regulatory submissions inspections thematic reviews and audits
• Deliver compliance training and coach junior team members

Requirements

• Matric plus a relevant tertiary qualification (Law Compliance Risk Management Finance or Business)
• FSCA approval as a Compliance Officer
• RE3 or RE4 with Phase I Compliance approval
• 58 years regulatory compliance experience in financial services or a regulated environment
• Proven experience in Investment Management
• Demonstrated experience in business partnering/advisory compliance roles
• Experience in breach management and regulatory reporting
• Strong knowledge of market conduct legislation (FAIS CISCA POPIA PFA)
• Exposure to compliance technology data and AI tools (advantageous)

Required Experience:

Unclear Seniority

Employment Type : Full-Time
Experience: years
Vacancy: 1