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.