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 stakeholdersIdentify potential compliance breaches and investigate compliance irregularities or areas of concernReview, register and resolve complaintsEnsure compliance documents are uploaded on the relevant portalsEnsure compliance records are up to dateReview and resolve Fit and Proper queriesMaintain the compliance procedures and manualsAnalyse 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 LLBMust be a registered and FSCA Compliance Officer (CAT 1)RE 1 Certificate3 - 4 years compliance experience in the financial services industryKnowledge of FICA, FAIS and relevant legislation, regulations and rulesRelevant knowledge, skills and corporate compliance experienceRelevant experience working with Financial Advisers / Financial PlannersComputer literate in MS OfficeCompetencies required:Interpersonal, communication and report writing skillsAbility to work independently and as part of teamAbility to operate in a high-performance environment at different levelsClient relationship building skills.
