Job TitleCompliance Officer CAT2
Employment TypeFull Time
Experience3 to 5 years
Job Published18 October 2023
Job Reference No.432208104
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
- 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
- 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