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Professional Recruitment Network

Compliance Officer

Professional Recruitment Network

  • Undisclosed
  • Permanent Intermediate EE position
  • Victoria and Alfred Waterfront
  • Posted 20 May 2025 by Professional Recruitment Network
  • Expires in 34 days
  • Job 2611226 - Ref KK599
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About the position

Our client is looking for an experienced Compliance Officer to join their team. The successful candidate will be part of the Compliance Team and will be responsible for engaging with stakeholders, monitoring and reporting compliance related issues. The main focus of the role will be on Collective Investment Schemes.

Reporting to the Head of Compliance, responsibilities include:

  • Drafting, maintaining and enhancing Compliance Monitoring Plans (CMPs)
  • Determining the amount, frequency and type of monitoring needed regarding the CMPs
  • Monitoring relevant legislation/ internal rules and/ or policies impacting the business, and pro-actively assisting the business in implementing new and/or amended regulatory requirements
  • Drafting and submitting status, committee and/ or Board reports
  • Tracking non-compliance and liaising with responsible person(s) to ensure agreed action plans are implemented
  • Interacting with regulators, industry bodies and internal/ external stakeholders
  • Reviewing the training register to check whether comprehensive training programs have been implemented, and whether all the relevant personnel have been trained
  • Actively participating in consultative and lobbying structures regarding legislative and regulatory developments
  • Responsible for the completion and/or maintenance of Regulatory Universe
  • Cultivating constructive relationships resulting in the Business proactively seeking Compliance involvement
  • Developing and training Junior Compliance Officers

Requirements:

  • A minimum of 4-5 years in Financial Services, specifically Investment Management
  • Relevant experience within the financial services industry, specifically relating to the operations of a CIS Manager
  • Exposure to the operations of a Category I, II and III FSPs, Long-Term Insurer and Pension Funds would be advantageous
  • Expert knowledge in and understanding of the Collective Investment Schemes Control Act
  • Proficiency in the Financial Advisory and Intermediary Services Act, relevant insurance and anti-money laundering legislation, and working knowledge of the Pension Funds Act and relevant data protection legislation
  • Passed the applicable FSCA Regulatory Exams advantageous
  • FAIS approved Compliance Officer with the FSCA advantageous
  • Compliance Professional registered with the Compliance Institute of South Africa will be advantageous

Desired Skills:

  • Compliance
  • Financial Services
  • Investment Management

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Professional Recruitment Network

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About the agency

Professional Recruitment Network is recognised as a leader within the financial recruitment industry. We are committed to providing a personalised, quality driven recruitment service by meeting and exceeding the expectations of both our Clients and Candidates Established in March 2015, with offices in Cape Town, PRN Staffing (Pty) Ltd was formed by a team of dedicated professionals with the vision of becoming one of the most recognised and successful financial recruitment specialists within South Africa. We are committed to providing the best talent for your recruitment needs. We can save you time, worry and money. Most importantly, we remove the risk of running a business that lacks the talented staff to make it succeed. With an average exceeding 10 years of financial recruitment experience each, our team are highly regarded within the industry, and we assure both our clients and candidates of a professional and complete business partnership. We take pride in correctly matching candidates to become an integral part of our client’s business and are renowned for providing an exceptional, all-inclusive, financial placement solution. PRN offers a quality assured and thorough recruitment process. Our team has extensive networks and an in-depth knowledge of the market to attract the very best candidate for your role. We aim to develop long term partnerships with our clients and candidates which assists in truly understanding the right cultural fit. We attract the best candidates because they value our commitment to their career. We focus on delivering the maximum return on investment for all concerned while building long term successful relationships. Contact info@prnstaffing.co.za

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