Compliance Officer at Hire Resolve

Job Description

• A well-established Financial Services Provider is currently recruiting for a Category I Compliance Officer position. Reporting to the Head of Compliance: Distribution, this role carries responsibility for ensuring the implementation of relevant legislation and regulations, while driving quality assurance and overall compliance adherence within the business.

Responsibilities

• Compile compliance and statistical reports to the business, clients, and regulators
• Ensure implementation and maintenance of the compliance risk management and monitoring plan
• Monitor primary legislation impacting the business
• Analyse, interpret, and implement new legislation
• Review all marketing material in accordance with Board Notice 92
• Address compliance queries from the business
• Manage compliance projects from start to finish
• Ensure the application of Treating Customers Fairly (TCF) outcomes
• Maintain FAIS compliance procedures and manuals
• Maintain the key individual / representative register
• Monitor and report on all FAIS matters to the business and the regulator

Requirements

• Relevant qualification such as BCom Law or LLB
• Must be a registered FSCA Compliance Officer (CAT I), preferably CAT II
• RE 1 Certificate
• 3–4 years’ compliance experience in the financial services industry
• Knowledge of FICA, FAIS, and other relevant legislation, regulations, and rules
• Strong corporate compliance knowledge and skills
• Own transport and valid driver’s licence (travel to adviser offices required)
• Computer literacy in MS Office