About the position
Compliance Officer This vacancy has been created within our client's risk and compliance team, based at their Cape Town office. This role is responsible for compliance support and implementation of risk and compliance policies and procedures for the advisory, fiduciary and consulting operations. The role also includes the accurate compilation of risk and compliance reporting, including adhoc review and analysis work by the Risk and Compliance Committee. The role is ideally suited to a recent graduate with Accounting and/or Risk Management as part of their completed degree, or where previous working experience includes completed accounting or auditing articles. Key responsibilities include: o Compliance reporting on behalf of business unit: internal and external (statutory) requirements o Review of client advisory and investment implementation records (FAIS and FICA) o assist advisory, fiduciary and consulting operations with technical queries Key requirements for applicants: Please note: only shortlisted candidates will be contacted.
o Review of planned legislative changes, and make recommendations of changes required in risk control and operational procedures. Monitoring of existing legislative changes
o Assist with documentation of processes and procedures, and planned training of same
o Review of system, and recommendations of system changes required
o FSP license changes as needed
o Review and approval of client onboarding
o Support and recommendations relating to Supervision candidate skills, knowledge and general
development.
Relevant tertiary qualification a necessity: B Com (Accounting) or B Com Honours in Risk Management
Desired Skills:
- completed accounting or auditing articles
- or relevant experience and qualification