Compliance Officer (Category Ii) | Johannesburg, Gauteng
Psg Konsult Ltd
Gauteng, South Africa
1d ago
source : findojobs-za

COMPLIANCE OFFICER (CATEGORY II) MIDRAND, GAUTENG PERMANENTPSGscommitment to transform and embrace diversity is what drives us to achieve adiverse workplace with employment equity as a key goal to create an inclusiveworkforce.

In achieving our employment equity goals, we give preference toapplicants from designated groups, and we encourage people with disability to apply.

Jobdescription : PSG Distribution iscurrently recruiting for a Compliance Officer CAT II position. Reporting to theHead : Compliance Distribution, youwill overall be responsible for the implementation of relevant legislationregulations and to drive quality assurance and compliance adherence in the PSGAdviser offices (long- and short-term assurance, collective investments, andstockbroking).

Responsibilities : ·Maintain a complianceframework in collaboration with the relevant stakeholders ·Identify potentialcompliance breaches and investigate compliance irregularities or areas ofconcern·Review, register andresolve complaints received from clients·Maintain the keyindividual / representative register·Ensure compliancerecords are up to date·Review and resolve Fitand Proper queries·Maintain thecompliance procedures and manuals·Conduct and report oncompliance audits at Adviser officesMinimum requirements : ·Relevant qualificationsuch as B Com Law or equivalent ·Must be a registeredand FSCA Compliance Officer In the possession of all appropriate SAIFMCompliance certification·Knowledge of FICA,FAIS and relevant legislation, regulations and rules ·5 years+ relevantknowledge, skills and corporate compliance experience·Relevant experienceworking with Financial Advisers / Financial Planners ·Computer literate inMS OfficeCompetencies required : ·Interpersonal,communication and report writing skills ·Ability to workindependently and as part of team·Ability to operate ina high-performance environment at different levels ·Client relationshipbuilding skills.

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