Compliance Officer | Midrand, Gauteng at PSG Konsult Ltd

Job description:

PSG Distribution is currently recruiting for a Category I Compliance Officer position. 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 PSG Adviser offices (long- and short-term assurance, collective investments and stockbroking).

Responsibilities:

• 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

Minimum requirements:

• Relevant qualification such as B Com Law or LLB
• Must be a registered and FSCA Compliance Officer (CAT 1)
• RE 1 Certificate
• 1 – 3 years compliance experience in the financial services industry
• Knowledge of FICA, FAIS and relevant legislation, regulations and rules
• Relevant knowledge, skills and corporate compliance experience
• Relevant experience working with Financial Advisers / Financial Planners
• Computer literate in MS Office

Competencies required:

• Interpersonal, communication and report writing skills
• Ability to work independently and as part of team
• Ability to operate in a high-performance environment at different levels
• Client relationship building skills.