Position Compliance Consultant under supervision or Compliance Officer (Category I)
Region Gauteng: Johannesburg and Pretoria
Reporting to Regional Manager, Johannesburg and Pretoria
Position Summary
To effectively deliver a quality compliance and risk management service to our clients at a regional level. Adherence to the compliance requirements as dictated by the FSCA.
Table of Contents
Employee’s Compliance Duty
• Outsourced compliance function delivered to financial
services clients
• Majority of services will be focused on Corporate clients.
• Must be approved by the FSCA for Category I
• Fulfil compliance function required in terms of FAIS, FICA
and other applicable legislation and business requirements
• Establish a culture of compliance and provide a
compliance risk framework to clients
• Assist clients to achieve the TCF outcomes
Employee’s Quality of Work
• Perform all functions to the standard and deadlines set by
Regional Manager
• Provide clients with high quality, personalised and
substantive reports
• Include clients in compliance processes and provide post monitoring feedback
• Maintain records as required by the business
• Display behaviour and attitudes which positively
contributes to the well-being and development of the
regional team, the company and its clients
• Sourcing and signing up of new clients
Role Qualifications and Competencies
Qualifications, Work
Experience and Skills
• A Legal or Accounting degree
• A FSCA (FSB) recognised qualification
• Category I FSP experience
• Minimum 3 years’ experience in compliance or risk
management within the financial services industry
• A good working knowledge of compliance legislation viz
FICA and FAIS
• Understanding and knowledge of risk management
principles.
• Exceptional verbal and written communication skills
• Work under pressure, independently and as part of a team
• Proficient presentation skills.
Address your CV to Heidi de Lange, Regional Manager
In the Subject Line write this Compliance Officer or Compliance Consultant post in Gauteng
Email your CV to [email protected]
Cut-off date for this Vacancy is 5 February 2021