Job TitleCompliance Administrator
Employment TypeFull Time
Experience3 to 4 years
Job Published20 November 2023
Job Reference No.3190775673
Compliance Administrator Cape Town CBD
Well-established financial services client from Cape Town CBS is looking for a Compliance Administrator with 3-4 years of Pension Fund/Compliance experience.
Compliance Certification an added bonus
Minimum 3 years of experience in the compliance/ pension fund industry
Provide compliance documentation to external compliance officers for submission of Bi-Annual Compliance Report
Update compliance file with current registers and declarations
Monthly reports compiled and sent to Compliance Officers
Compliance Monthly registers
Checking of Broker applications for outstanding information and completeness
Confirm Broker agreements
Update broker records when letters of authorisation are received
Maintain Representative register
Maintain compliance document register and ensure updates are finalized timeously
Ensure that the company complies with FAIS and other applicable legislation
Maintain companies categories
Ensure record-keeping is maintained
Ensure that compliance files are maintained in hard copy (where applicable) as well as electronically.
The categories are:
Rules, regulation & SARS approvals
Regulatory approvals and exemptions
Codes and Policies
Ensure that valuation exemption (Regulation 2) certificates are maintained for all funds.
Ensure that an electronic copy of the signed fund annual financial statements is maintained.
Follow-up and confirm annual PI cover renewal.
Ensure that FSB and SARS approvals exist for all rules, special rules, and rule amendments.
Send registers to PO 2 weeks before Trustee Meetings:
FROGG Recruitment SA