Compliance Officer - Cape Town CBD

1. FAIS & FSP Compliance (Category I & II – Private Equity)
2. Act as the appointed Compliance Officer, MLCO for the Category II FSP
3. Ensure ongoing compliance with: FAIS Act and subordinate legislation
4. General Code of Conduct
5. Determination of Fit and Proper Requirements
6. FSCA Directives, Conduct Standards and Guidance Notes
7. Maintain and update: Risk Management Compliance Program (RMCP)
8. Compliance Monitoring Programme
9. Compliance Manuals, Policies and Procedures
10. Act as or support the Company Secretary to group entities
11. File CIPC annual returns and amendments
12. Manage director appointments, resignations and disclosures
13. Manage company set up and amendments thereof
14. Governance, Risk & Advisory Support

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Behavioural Competencies:

1. Trustworthy – High ethical values
2. Excellent command of the English language
3. Strong presentation capabilities
4. Self-starter and driven

Please Note: Should you not hear back from us within the next 2 weeks, please consider your application as unsuccessful.