regulations and to drive quality assurance and compliance adherence in the offices (long- and short-term you Duties and Responsibilities: • Maintain a compliance framework in collaboration with the relevant stakeholders • Identify potential compliance breaches and investigate compliance irregularities or areas of individual / representative register • Ensure compliance records are up to date • Review and resolve Fit queries • Maintain the compliance procedures and manuals • Conduct and report on compliance audits at financial
client is currently recruiting for a Category II Compliance Officer position. You will overall be responsible regulations and to drive quality assurance and compliance adherence in the PSG Adviser offices (long- and accommodation Responsibilities: • Maintain a compliance framework in collaboration with the relevant stakeholders • Identify potential compliance breaches and investigate compliance irregularities or a reason individual / representative register • Ensure compliance records are up to date • Review and resolve Fit
regulations and to drive quality assurance and compliance adherence in the offices (long- and short-term you Duties and Responsibilities: • Maintain a compliance framework in collaboration with the relevant stakeholders • Identify potential compliance breaches and investigate compliance irregularities or areas of individual / representative register • Ensure compliance records are up to date • Review and resolve Fit queries • Maintain the compliance procedures and manuals • Conduct and report on compliance audits at financial
client is currently recruiting for a Category II Compliance Officer position. You will overall be responsible regulations and to drive quality assurance and compliance adherence in the PSG Adviser offices (long- and accommodation Responsibilities: • Maintain a compliance framework in collaboration with the relevant stakeholders • Identify potential compliance breaches and investigate compliance irregularities or a reason individual / representative register • Ensure compliance records are up to date • Review and resolve Fit
Qualifications Qualifications: FAIS Accreditation (RE/FSB recognized qualification) • FAIS Regulatory examination examination RE1 (Key Individual exam) • FAIS Regulatory exam RE5 (Reps) • Class of Business training will be to
Qualifications Qualifications: FAIS Accreditation (RE/FSB recognized qualification) • FAIS Regulatory examination examination RE1 (Key Individual exam) • FAIS Regulatory exam RE5 (Reps) • Class of Business training will be to
required/ equivalent qualification and or FAIS Credits • FAIS Regulatory examination for Representatives
required/ equivalent qualification and or FAIS Credits • FAIS Regulatory examination for Representatives
required/ equivalent qualification and or FAIS Credits • FAIS Regulatory examination for Representatives
required/ equivalent qualification and or FAIS Credits • FAIS Regulatory examination for Representatives