Compliance Officer at Robert Walters

The Role

An international financial services house based in Cape Town is looking for a Compliance Officer to ensure the effective implementation of an effective Compliance Monitoring programme, ensuring the group complies with applicable legislative and regulatory requirements.

The successful incumbent will support the Senior Compliance Officer through the provision of compliance services and to identify, assess,manage, monitor and report regulatory compliance risks facing the organisation.
 

Key responsibilities in the Compliance Officer role will include:

• Ensure the effective implementation of an E2E compliance monitoring programme
• Track non compliant findings with respective business unit functions.
• Monitor the efficiency and consistency of compliance controls and assist with enhancement.
• Manage the mitigation of compliance breaches.
• Prepare compliance reports to management and various committees and governance structures within the group.
• Prepare reports to regulatory authorities.
• Monitor changes in relevant legal requirements and other regulatory developments which may impact on the company and advise the Directors on their implications.

A successful application in the Compliance officer role will include:

• Relevant degree in Business, Finance, Law, Compliance or Risk Management
• CPrac Designation is highly preferential
• 3 years min experience in Compliance monitoring
• FSCA FAIS Approved as Compliance officer for Category I and II Financial service
• Strong working knowledge of FAIS, FICA, POPI and a solid knowledge of the South African Regulatory Environment

Should you meet the requirements, please apply!

Desired Skills and Experience

• FAIS, FICA, POPIA
• Category I and II
• Compliance Officer
• Registered Compliance Officer
• Compliance Monitoring Programme