Compliance Officer - Cat II
Yazoo Recruitment
Johannesburg, South Africa
4d ago

FSCA registered CATII Compliance Officer, with minimum 5 years compliance experience within financial services, required to implement relevant legislation regulations and to drive quality assurance and compliance adherence re long and short term assurance, collective investments and stockbroking.

Minimum requirements :

  • B.Com Law or equivalent degree required
  • Registration with the FSCA as a CAT II Compliance Officer essential
  • 5 years experience within the financial service industry essential specific to Financial Advisers and Financial Planners
  • Corporate compliance experience and knowledge required
  • Knowledge of FICA, FAIS and relevant legislation regulations and rules required
  • Responsibilities :

  • Maintain compliance framework in collaboration with all stakeholders
  • Identify compliance breaches and investigate irregularities
  • Review, register and resolve complaints
  • Maintain Key Individual / Representative register
  • Maintain and update compliance records
  • Review and resolve Fit&Proper queries
  • Maintain compliance procedures and manuals
  • Conduct and report on compliance audits at Adviser Offices
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