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 non-compliance issues Be knowledgeable on asset management legislation, FICA, POPIA, FAIS, Financial Markets
Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Pack" clients when a Private Wealth Manager resigns Assisting Compliance Manager with complaint investigation Requirements: 5 years Onshore experience in the wealth management industry, with Offshore experience (advantageous)
Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Pack" clients when a Private Wealth Manager resigns Assisting Compliance Manager with complaint investigation Requirements: 5 years Onshore experience in the wealth management industry, with Offshore experience (advantageous)
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
This role will work closely with the Treasury Manager and facilitate the group of companies' financial
This role will work closely with the Treasury Manager and facilitate the group of companies' financial
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