Come and play a key role in a leading financial services team as their Compliance Officer. This role is responsible for the regulatory compliance, and calls for a regulatory Compliance Officer who has strong Pension Funds Act, FICA and FAIS compliance experience and who is a FAIS Registered Compliance officer for CAT1 products.
Why join this team?
- Great opportunity to step into a key compliance role within a respected financial services environment
- Take the lead in ensuring the business meets critical regulatory requirements while promoting a strong culture of compliance
- ideal for someone who thrives on responsibility and wants to make a tangible impact
What you will be doing :
Act as the appointed FAIS Compliance Officer (Cat I FSP), FIC MLRO, and S13B Compliance OfficerMonitor and plan FAIS compliance across relevant entitiesOversee CPD, COB, and PST requirements for all representatives and KIsMonitor and report on supervision of representatives under supervisionStay current with AML legislation and assist with FIC reportingConduct ongoing FICA monitoringPlan and implement internal compliance trainingManage and submit various regulatory submissions and reportsLiaise with the FSCA for licensing requirementsProvide other regulatory compliance services as neededWhat we are looking for :
Degree or Postgraduate Qualification, along with RE 1 and RE 5 certifications3-5 years' experience within the related eegulatory compliance within financial servicesRegistered FAIS Compliance Officer for Cat IBenefits and unique aspects :
Key role in a highly regulated, dynamic environmentDirect interaction with regulators and senior managementExposure to multiple regulatory frameworks (FAIS, FICA, PFA)Please note if you haven't heard back from us within two weeks of submitting your application, unfortunately your application has not been successful this time. We'd still love to stay connected, follow us online and keep an eye out for future opportunities that match your profile.