About the position
Location: Cape Town
Job Description: Embark on a rewarding career path as a Compliance Administrator within a forward-thinking financial services organisation. This role offers a unique opportunity to play a pivotal part in strengthening compliance functions and ensuring operational excellence. You will be instrumental in maintaining critical compliance processes, managing essential documentation, and supporting the company's commitment to regulatory adherence. This position is ideal for a detail-oriented individual seeking to grow their expertise in a supportive and progressive environment, contributing directly to the company's ongoing success and reputation.
Responsibilities:
- Oversee and execute daily FICA refreshes and ongoing customer due diligence processes.
- Maintain and manage the client contracts database, ensuring accuracy and accessibility.
- Facilitate the smooth flow of legal and compliance documents within the investment division.
- Manage and update key registers, including the PA trading register.
- Administer and track FAIS representatives' documents and registrations.
- Address and resolve general administrative queries related to compliance.
- Collaborate with the compliance manager to prepare essential reporting for management and regulatory bodies.
- Act as a liaison between internal stakeholders, clients, and the compliance team.
Requirements:
Must-Haves:
- Degree or Diploma in Law, Finance, FAIS & FICA compliance, or a related field.
- A minimum of 2 years of experience within the financial services sector.
- Practical working knowledge of the FAIS Act, FIC Act, and Fit and Proper requirements.
- Excellent verbal and written communication skills, with the ability to liaise effectively with diverse parties.
- Exceptional attention to detail, strong organisational, and time management skills.
- Proficiency in database management and standard computer applications.
- Demonstrated ability to plan and meet deadlines consistently.
- Structured thinking with the capability to document processes clearly.
- Proactive problem-solving abilities and a willingness to take initiative.
- Ability to work independently while also being a collaborative team player.
Nice-to-Haves:
- Certification in compliance.
- Strong Microsoft Excel skills.
- Experience in managing PA registers and working with contracts.
Desired Skills:
- Compliance
- FICA
- FAIS
- KYC
- Due Diligence
Desired Work Experience:
About The Employer:
Client Summary: Our client is a leading financial services firm renowned for its innovative investment strategies. With a commitment to excellence and a forward-thinking approach, they are dedicated to modernizing their operations and ensuring robust compliance frameworks. This is an opportunity to join a dynamic team that values both tradition and progress, contributing to the integrity and growth of a respected industry player.
