Compliance Officer (Category II) at CloudStream Global

Your responsibilities will include:

• Maintain a compliance framework in collaboration with the relevant stakeholders
• Identify potential compliance breaches and investigate compliance irregularities or areas of concern
• Review, register and resolve complaints received from clients
• Maintain the key individual / representative register
• Ensure compliance records are up to date
• Review and resolve Fit and Proper queries
• Maintain the compliance procedures and manuals
• Conduct and report on compliance audits at Adviser offices.

Qualifications

Law Degree 

Experience

• Must be a registered and FSCA Compliance Officer In the possession of all appropriate SAIFM Compliance certification
• Knowledge of FICA, FAIS and relevant legislation, regulations and rules
• Relevant knowledge, skills and corporate compliance experience
• Relevant experience within the financial services industry
• Cat II certified is non Negotiable

Please note there will be a high amount of travel required. We are looking for someone who comes from an environment that deals with the distribution part of the business  someone from a retail background would suit the role.

This is an experienced skill set, if you perhaps don't fit the requirements please free to get in touch and refer someone who would be better suited: [email protected]