Job Description

Our Client is on the lookout for a Compliance Officer (Category I) to provide expert compliance and risk management services to financial services clients and FICA-accountable institutions. This role ensures adherence to FSCA regulatory requirements, particularly FAIS and FICA, while helping clients establish a strong compliance framework. You will play a key role in monitoring compliance, mitigating risks, and fostering a compliance-driven culture within independent FSPs and corporate clients.Key Responsibilities:

• Deliver outsourced compliance services to financial services clients.
• Ensure regulatory compliance with FAIS, FICA, and other applicable laws.
• Develop and implement compliance risk frameworks tailored to client needs.
• Support clients in meeting Treating Customers Fairly (TCF) outcomes.
• Prepare and deliver detailed compliance reports with actionable insights.
• Conduct compliance monitoring, post-monitoring feedback, and record-keeping.
• Maintain a high standard of service in line with Regional Manager expectations.
• Contribute to team development and client relationship management.
• Identify and onboard new clients, expanding the companys compliance service offering.

• Degree in Law, Accounting, Finance, or a related field.
• FSCA-approved Compliance Officer (essential).
• Must be approved by the FSCA for Category I compliance functions.
• Minimum 3 years experience in compliance or risk management within financial services.
• Strong Category I FSP compliance expertise.
• Valid drivers licence required.

• In-depth knowledge of FAIS and FICA regulations.
• Strong understanding of risk management principles.
• Excellent written and verbal communication skills.
• Ability to work independently and collaboratively under pressure.
• Strong presentation and reporting skills.

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