Our client in the Insurance Indsutry is looking for a Compliance Officer to join their organisation. Candidates must have completed their RE1, RE3 and RE5 qualification in order to be Category two compliant.
Minimum requirements (non-negotiable)
BCom Law
5 years+ relevant compliance experience coming from a Financial Advisory company
Category II 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 (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 equivalent
- 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
- 5 years+ relevant knowledge, skills and corporate compliance experience
- Relevant experience working with Financial Advisers / Financial Planners
- Computer literate in MS Office
Desired Skills:
- Compliance Officer
- Bcom Law
- FAIS
- RE
Desired Work Experience:
- 5 to 10 years
Desired Qualification Level:
- Degree
About The Employer:
Our client is based in Midrand