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