Job Description

Job description:We are currently recruiting for a Category I Compliance Officer position. Reporting to the Head of Compliance: Distribution, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence.

Responsibilities:

Compiling of compliance and statistical reports to the business, clients and regulators

Ensure compliance implementation and maintenance of the compliance risk management and monitoring plan

Monitoring of the primary legislation impacting the business

Analyse, interpret and implement new legislation

Review of all marketing material in accordance with Board Notice 92

Address compliance queries from the business

Managing compliance projects from start to finish

Ensure the application of the TCF outcomes

Maintain FAIS compliance procedures and manuals

Maintaining the key individual / representative register

Monitoring and reporting on all FAIS matters to the business and the regulator

Minimum requirements:

Relevant qualification such as B Com Law or LLB

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

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

Own transport and valid driver's licence as travel component to Adviser offices

Computer literate in MS Office

Job Type: Full-time

Application Question(s):

Do you have B Com Law or LLB Are you registered and FSCA Compliance Officer (CAT 1), preferably CAT II Do you have 3 - 4 years compliance experience in the financial services industry Are you willing to travel
Work Location: In person