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
candidate must have worked with Financial Advisers

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
  • Insurance
  • RE3

Desired Work Experience:

  • 5 to 10 years

Desired Qualification Level:

  • Degree

About The Employer:

Our client is based in Midrand

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