Compliance Officer Port Elizabeth

Compliance Officer (Financial Services)

Reference : PE -HP -2

Our Client, a national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs), develops and delivers unique compliance, risk management, practice management, and business intelligence services.

Two vacancies exist for experienced Compliance Officers to be based in the Port Elizabeth and East London offices, respectively.

ROLES AND RESPONSIBILITIES :

Reporting to the Regional Manager, performance areas include, but are not limited to :

• Delivering quality compliance and risk management service to clients at a regional level.
• Adhering to compliance requirements as dictated by the FSCA.
• Growing the Company’s Eastern Cape client base by marketing all company services to non-company clients.
• Marketing all services to the existing company client base.
• Assisting the company regionally with Virtual Compliance, Risk Management, Implementation, and other Sales Projects.
• Delivering outsourced compliance functions to financial services clients and other FICA-accountable institutions.
• Fulfilling compliance functions required in terms of FAIS, FICA, and other applicable legislation and business requirements.
• Establishing a culture of compliance and providing a compliance risk framework to clients.
• Assisting clients to achieve the TCF outcomes.
• Performing all functions to the standard and deadlines set by the Regional Manager.
• Providing clients with high-quality, personalized, and substantive reports.
• Including clients in compliance processes and providing post-monitoring feedback.
• Maintaining records as required by the business.
• Displaying behavior and attitudes that positively contribute to the well-being and development of the regional team, the company, and its clients.
• Sourcing and signing up new clients.

QUALIFICATIONS AND EXPERIENCE :

IMPORTANT ATTRIBUTES :

Location : Port Elizabeth or East London

Profile : Financial Services Industry

Career Level : 3-5+ years

Employment : Permanent, full-time

E.E. / Non-EE : Open

Working Hours : Monday to Friday, 08H00 - 16H30

Remuneration : Market-related basic (Pension Included) + Commission and Annual Performance Bonus.

Shortlisted candidates may be expected to complete and pass assessments before moving to the next stage of the recruitment process.

Should you not be contacted within two weeks, please consider your application unsuccessful.

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