Compliance Officer

About the position

Cape Town - Southern Suburbs - Compliance Officer required to join team of highly regarded Financial Advisors.
Do these words resonate with your value system and your career goals?:
Prestige, credibility, integrity, stability, reputability, rewarding, professionalism, ethics?
Are you looking to join a team with a culture of caring towards, not only their clients, but their employees as well?
Then this is the perfect opportunity for you!
Use your relevant degree (B Com Accounting, or B Com Honours in Risk Management), together with your completed Accounting or Auditing articles to join the Compliance and Risk Team at my client, based in the Southern Suburbs of Cape Town.
Your key responsibilities will include:

• Compliance reporting on behalf of business unit: internal and external (statutory)requirements
• Review of planned legislative changes, and make recommendations of changes required in risk control and operational procedures.
• Monitoring of existing legislative changes
• Assist with documentation of processes and procedures, and planned training of same
• Review of system, and recommendations of system changes required.
• FSP license changes as needed
• Compliance monitoring which will include: Review of client advisory and investment implementation records (FAIS and FICA) as well as review and approval of client onboarding
• Technical queries including assisting the advisory, fiduciary and consulting operations with technical queries and support and recommendations.

 
A highly attractive  remuneration package will  be on offer to the successful candidate. Together with the opportunity to become part of a highly regarded and respected team.

Desired Skills:

• Compliance Officer
• Financial Advisory
• BCom Accounting
• BCom Risk Management