Job Title
Compliance Officer CAT2
Employment Type
Full Time
3 to 5 years
Job Published
18 October 2023
Job Reference No.

Job Description

Compliance Officer CAT2 Cape Town

Our client is looking for a Compliance Officer with CAT2 who is able to provide legal and compliance support on systems, processes and knowledge of financial services regulatory environment.

Salary: Market Related

Minimum Requirements:

  • Matric
  • 3 – 5 years in legal/compliance role in financial environment
  • BComm Honours / law degree / compliance related qualification.
  • BusSci degree in Portfolio Management would be an advantage.
  • Cat II FAIS registered CO / CO for ManCo.
  • Member of CISA – C (Prac) advantageous.
  • Exposure to asset management and/or ManCo.
  • Knowledge of FAIS/CISCA.
  • Statpro monitoring system or similar post trade portfolio software

Key Responsibilities:

  • Advise management in respect of implication and consequences of business decisions in the Collective Investment Scheme/Asset Management area.
  • Liaise with management regularly on compliance issues.
  • Liaise with Trustees
  • Assist with due diligence in relation to offshore funds.
  • Provide reporting to various company boards, risk and audit committees, and regulatory bodies where applicable.
  • Investigate and oversee asset management breaches (post trade compliance).
  • Liaise with Regulator in assisting with FSCA applications and any correspondence with regards to agreements, addendums, and supplemental deeds.
  • Fulfill an advisory role for new business initiatives and projects.
  • Maintain knowledge staying abreast of industry and regulatory changes.


Please Apply Online at FROGG Recruitment