Our client, a top investment management team, seeks a Compliance Officer to join them. Role works closely closely with the Regulatory Compliance Manager and seeks a suitably qualified Cat2 or Cat2A registered compliance officer with current, relevant asset management experience. Exciting role to not only ensure Responsibilities: Develop and implement compliance risk management plans Compliance monitoring as required and within culture Regulatory reporting (FICA, FAIS etc.) Assisting the business with any compliance training as required
young and dynamic SAIPA qualified Account Manager to manage the accounting portfolio and perform outsourced send me your CV today Responsibilities: Build and manage client relationships and ensure compliance Supervise Supervise bookkeeping function Plan and manage all client deliverables i.e. all inter-functional activities VAT recons and related returns Prepare monthly management accounts and annual financial statements Pro-actively
Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Pack" Regular risk assessments and updates to Risk Management and Compliance Policy: such as identifying potential potential compliance risk and actively advising management to implement proper compliance program to address Treating Clients Fairly, Risk Management Policy Complaints management Establish a culture of compliance
Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Pack" Regular risk assessments and updates to Risk Management and Compliance Policy: such as identifying potential potential compliance risk and actively advising management to implement proper compliance program to address Treating Clients Fairly, Risk Management Policy Complaints management Establish a culture of compliance
competitive risks and advantages Researching management track record and history and reviewing annual
competitive risks and advantages Researching management track record and history and reviewing annual