Compliance Advisory Officer Sandton, Johannesburg

Provide day-to-day compliance advisory support to the business, ensuring products, distribution activities, marketing, client communications, and operational processes align with applicable South African regulatory requirements and internal policies. Assist with implementing regulatory changes, supporting governance forums, and promoting a strong compliance culture across the firm.

Salary: Market Related

Minimum requirements

• Bachelor’s degree (Law, Finance, Accounting, Business, Risk/Compliance or similar).
• Compliance-related qualification/membership (e.g., Compliance Institute Southern Africa)
• 3–5 years’ compliance experience within financial services, ideally investments/wealth/asset management.
• Prior exposure to investment products/structures (unit trusts, discretionary mandates, platforms, retirement products).
• Working knowledge of relevant South African regulations/standards such as: FAIS and FSCA conduct expectations
• FICA (KYC/CDD basics and interaction with onboarding)
• POPIA (privacy obligations relevant to client data)
• CISCA/Collective Investment Schemes, and general FSCA licensing conditions
• Experience reviewing financial promotions/marketing material and client-facing disclosures is advantageous.

Key responsibilities

• Compliance advisory to business stakeholders
• Product, distribution & client journey oversight
• Regulatory change support
• Governance, reporting & escalation
• Training & compliance culture
• Support monitoring, audits and regulatory engagements (as required)

Please apply online

FROGG Recruitment