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Senior Compliance Officer (12-month Contract)
R540k
Cape Town
Join leading listed Investment Group and join this small established international units. :
Key responsibilities
• Assist in monitoring compliance with applicable legislation and internal requirements with a specific focus on Collective Investment Schemes
and compliance with CISCA and Regulation 28, Financial Intelligence Centre Act, Financial Advisory and Intermediary Services Act and POPIA.
• Review and comment on draft Supplemental Deeds
• Monitor compliance with Supplemental Deeds, ASISA Mandates and relevant legislative requirements
• Assist with the compilation and submission of FSCA reporting
• Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
• Analyse and comment on draft legislation
• Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act
in a compliant manner
• Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of compliance breaches and
other regulatory issues. Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units
Minimum requirements
• Relevant tertiary qualification
• A minimum of 4 years’ experience in the Collective Investment Schemes (CISCA), FAIS and FICA and financial industry experience.
• Certificate in Compliance Management would be an advantage
• FSCA Approved Compliance Officer for Cat II would be an advantage
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