Job Description

Galinco Risk Services, part of the TWK group, has the following vacancy available: Compliance Officer at Krugersdorp, Gauteng.

Job Summary

This role involves ensuring the organisation complies with all relevant financial and regulatory legislation, including FAIS, FICA, FSRA, POPIA, and the Insurance Acts. The Compliance Officer is responsible for developing and monitoring internal compliance frameworks, conducting risk assessments and audits, reporting to regulatory authorities, and delivering compliance training. The role also includes monitoring representatives' activities, managing regulatory submissions, and maintaining accurate compliance records.

Responsibilities and Duties

Ensure compliance with applicable laws, including the FAIS Act, FICA, FSRA, the Insurance Act (Long-term and Short-term), POPIA, CoFI Bill and related regulations, directives and guidelines Oversee adherence to Anti-Money Laundering (AML), Counter-Terrorism Financing (CFT), and Know-Your-Client (KYC) obligations Maintain a thorough and current understanding of changes in relevant regulatory environments Monitor and interpret regulatory developments and recommend necessary internal controls and policy changes Develop, implement, and monitor internal compliance frameworks, policies, and controls Conduct risk assessments and compliance audits related to client onboarding, needs analysis, product recommendation/suitability, disclosures, recordkeeping, and Treating Customers Fairly (TCF) Monitor the activities of Representatives and Key Individuals to ensure ongoing compliance with Fit and Proper requirements Prepare and submit periodic compliance reports Identify, investigate, and escalate potential compliance risks and opportunities Assist with reporting to regulatory authorities, including the FSCA and the FIC Monitor the reporting of suspicious transactions (STRs) Keep track of regulatory filing deadlines and manage a submission calendar to ensure compliance Deliver training to staff and representatives on regulatory requirements and internal policies Ensure proper documentation of compliance monitoring activities and findings Maintain comprehensive records of compliance activities, correspondence, and decisions in line with legislative requirements Store key compliance-related documents, including risk assessments, reports, and training logs for audit or inspection purposes Capture and update information on internal systems regularly and accurately Build collaborative relationships within the team and across departments

Qualification and Skills

Recognised Law or Accounting degree (or other qualification listed on the FSCA's list of approved qualifications for Compliance Officers) Minimum of 3 - 5 years' experience in compliance and risk management within the financial services industry (Cat I FSP) Relevant knowledge of FAIS, FICA, POPIA, FSRA, CoFI, FSCA directives Experience with compliance tools, risk registers, and reporting frameworks Proficient in MS Office Suite Familiarity with compliance management software (advantageous) Analytical and problem-solving ability Strong written and verbal communication skills High attention to detail and organisational skills Ability to work both independently and as part of a team A valid driver's license


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