Compliance Officer Cape Town - Cape Town Region
CA Financial Appointments
Our client, a top investment management team, seeks a Compliance Officer to join them. Role works 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 compliance implementation, but also ensuring a culture of compliance across the business. Responsibilities: Develop and implement compliance risk management plans Compliance monitoring as required and within appropriate methodologies Regulatory register maintenance Ensuring compliance is held by staff as well as training as required Supporting and ensuring an appropriate compliance culture Regulatory reporting (FICA, FAIS etc.) Assisting the business with any compliance training as required Consult with business partners on any non-compliance issues Be knowledgeable on asset management legislation, FICA, POPIA, FAIS, Financial Markets, JSE Rules, Financial Advisory, Intermediary Services Act, as required for Cat 2 and Cat 2A FSP Requirements: Minimum of a completed tertiary qualification or CPrac or CProf qualification Minimum of 2 - 3 years' experience in an asset management compliance officer role Registered with FSCA or under supervision as a FAIS Cat2 and/or Cat2A compliance officer Strong base of regulatory knowledge within asset management industry Ability to deal well with conflict Excellent relationship building skills Good team player This is an Employment Equity designated opportunity, in line with our clients EE requirements. Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities. see Duties & Responsibilities
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