Operations Compliance Officer | Cape Town

Job description :

We are currently recruiting for a Category I Operational Compliance Officer position. Reporting to the Chief Legal and Compliance Officer, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser offices (long- and short-term assurance, collective investments and stockbroking).

Responsibilities :

Maintain a compliance framework in collaboration with the relevant stakeholders

Identify potential compliance breaches and investigate compliance irregularities or areas of concern

Review, register and resolve complaints

Ensure compliance documents are uploaded on the relevant portals

Ensure compliance records are up to date

Review and resolve Fit and Proper queries

Maintain the compliance procedures and manuals

Analyse information and pro-actively suggest improvements to ensure compliance process is followed in accordance with the GCOC under FAIS ,

Minimum requirements :

Relevant qualification such as B Com Law or LLB

Must be a registered and FSCA Compliance Officer (CAT 1)

RE 1 Certificate

3 - 4 years compliance experience in the financial services industry

Knowledge of FICA, FAIS and relevant legislation, regulations and rules

Relevant knowledge, skills and corporate compliance experience

Relevant experience working with Financial Advisers / Financial Planners

Computer literate in MS Office

Competencies required :

Interpersonal, communication and report writing skills

Ability to work independently and as part of team

Ability to operate in a high-performance environment at different levels

Client relationship building skills.

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