Job Description

Category 1 or Category II Compliance Officer with B.Com Law/LLB Degree and RE1 Certificate and registration with the FSCA, and minimum 3 years' compliance experience in the Financial Services Industry, required for a JSE Listed Company based in Midrand, Gauteng.
Minimum requirements:

• Relevant qualification - B.Comm Law/LLB or equivalent essential
• RE1 essential
• Minimum 3 years' experience within the financial services industry required
• Registration with the FSCA as a Compliance Officer- Category I or II essential
• Knowledge of FICA, FAIS and relevant legislation, regulations and rules essential
• Corporate compliance experience required
• Valid driver's license and must be willing to travel when required

Responsibilities:

• Compiling compliance statistical reports
• Ensure compliance implementation and maintenance of compliance risk management and monitoring plan
• Monitoring primary legislation impacting the business
• Analyse, interpret and implement new legislation
• Review marketing material
• Compliance queries
• Manage ad compliance projects
• Application of the TCF outcomes
• Maintain FAIS compliance procedures and manuals for the FSP
• Maintain Key Individual / Representative register
• Monitoring and reporting on all FAIS matters

If you are a SA citizen & your CV meets the above criteria, please send your CV to
Recognising that diversity is the key to excellence, our client especially encourages members of designated groups to apply.
If you have not heard from us within a 2 week period, please deem your application as unsuccessful.
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. * That you have no objection to us retaining your personal information in our database for future matching and will notify us in writing should you wish to remove your personal information from our database.

• Should suitable opportunities arise we will contact you and request your consent to submit your CV to a specific client for a specific purpose.
• That the information you have provided to us is true, correct and up to date.

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