CAT2 Compliance Officer at CA Financial Appointments

Job Description

• Reporting to the Head: Compliance – Distribution, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser offices (long- and short-term assurance, collective investments and stockbroking).

Responsibilities: 

• Manage compliance structure with stakeholders
• Determine possible compliance breaches and explore compliance irregularities and concerns 
• Review and resolve complaints and Fit and Proper queries
• Maintain representative register
• Verify and keep compliance records up to date 
• Maintain compliance procedures and manuals
• Manage and report on compliance audits 

Requirements: 

• Must have a BCom Law or equivalent qualification 
• Must be a registered FSCA Compliance Officer, and have all appropriate SAIFM Compliance certification
• Minimum of 3-5 years compliance experience in financial services industry
• Must be knowledgeable of FICA, FAIS and relevant legislation, regulations and rules
• Strong communication and report writing skills 
• Excellent client relationship building skills