Job TitleCompliance Officer CAT 1
Employment TypeFull Time
Experience3 to 5 years
Job Published06 November 2023
Job Reference No.1267696017
Compliance Officer CAT 1 Cape Town
Our Investment client is looking for a Compliance Officer CAT1 with a practical approach to systems and processes. Must have CAT1. You must have Investment Compliance experience – NON-NEGOTIABLE
Salary: Negotiable CTC
BComm Honours / BusSci degree / or relevant postgraduate degree in compliance or related qualification.
3 years in compliance or similar role in an investment experience NON NEGOTIABLE
Exposure to Category 1
Category 1 registered FAIS compliance officer.
Registration as a Category 3 FAIS Compliance Officer would be advantageous.
Member of the Compliance Institute of South Africa (CISA).
Review business processes and recommend applicable changes to ensure adherence and compliance with the regulatory framework.
Provide compliance support to business development and operation stakeholders to ensure operational process adheres to key compliance standards.
Assist with drafting, commenting, and updating compliance process documentation and policies.
Responsible for category 1 and 3 FAIS license requirements and where possible supervisor trainee compliance officer(s).
Ensure adherence to the Compliance Management Framework.
Perform compliance monitoring and where relevant provide recommendations that would result in improvements about business process.
Provide training to employees and management regularly on compliance-related issues and changes to the regulatory environment.
Ensure the regulatory universe is maintained and updated about primary and secondary legislation, FAIS (essential), LTIA, FICA, POCDATARA, FATCA, POPI, and the Insurance act.
Please Apply Online at FROGG Recruitment