Junior FAIS Compliance Officer(Pretoria) at Horizon Compliance

Main Requirements:

• You need to have at least 1- 2 years of experience in the Legal or Financial Services industry – either fully approved or rendering CO services under supervision
• You must have some exposure to FAIS and FICA
• Doing repetitive admin work must give you immense amounts of joy
• This is a work-from-home position, but candidates must be in South Africa 
• You need to learn fast and take responsibility
• You are not allowed to conduct other work for other companies/yourself while in our employ

Additional Requirements:

• Tech-savvy
• A disciplined approach to your daily work
• Good numeracy skills
• Fluency in English and Afrikaans - writing and speaking
• Experience in liaison with regulators
• Good people and problem-solving skills
• A high level of ethics
• Be able to take initiative on many projects

Day-to-day Responsibilities:

• To solve problems and provide solutions for clients
• Advise and provide guidance and research to clients on applying FAIS and related legislation (FICA/POPI/NCR/etc.)
• Advise and facilitate license applications
• Communicate with regulators on behalf of clients (may include FSCA/FIC/NCR/SARB)
• Conduct fit and proper assessments of businesses and their employees
• Conduct monthly file monitoring and yearly practice monitoring
• Conduct occasional training sessions on legislative requirements
• Facilitate compliance meetings with clients on updates/challenges
• Attend occasional conferences
• Drafting of policies, procedures, and contracts
• Assist with the implementation of policies and procedures
• Submit regulatory documents (compliance reports/financial statements etc.) within prescribed timeframes
• Ad hoc projects
• Assist clients with onsite inspections from regulators
• Discuss contract options with potential clients

Additional "Nice to have's":

• Interest in blockchain and crypto technology
• Experience in CISCA, CAT llA, & CAT lll
• Experience in FAIS license applications and document collation
• Marketing and sales experience
• Experience in sending quotes and acting on leads
• Legal drafting and research capability