In-House Compliance Officer FAIS Category 1
FROGG Recruitment Friday, 06 March 2026 1Job Summary
In-House Compliance Officer FAIS Category 1 Claremont Cape Town
Our Insurance client seeks a Compliance Officer to provide in-house compliance oversight and advisory to a FAIS Category I insurance FSP, ensuring adherence to FSCA conduct requirements, internal policies, and fair customer outcomes. The role focuses on compliance monitoring (file reviews), regulatory guidance to advisers/representatives, management reporting, breach/complaints trend analysis, and support for regulatory change implementation.
Salary: Market Related
Minimum requirements
• Relevant tertiary qualification (Law, Business, Finance, Risk/Compliance or similar).
• 3–6 years’ compliance experience within South African insurance (life and/or short-term) in a FAIS Category I context.
• Compliance Institute Southern Africa qualification/membership.
• RE exams / product-specific regulatory knowledge aligned to the insurer/FSP’s lines.
• Experience supporting KI responsibilities and representative supervision requirements.
• Solid working knowledge of: FAIS and Fit & Proper requirements (incl. CPD concepts and competence evidence)
• Conflicts of interest and disclosure standards
• Advice process controls: needs analysis, suitability, record of advice, replacements
• Complaints handling and record-keeping expectations
• Strong report writing, documentation, and stakeholder engagement skills.
Key responsibilities:
• FAIS Cat I compliance advisory (insurance)
• Compliance monitoring & file reviews (second line)
• Conduct risk / TCF & customer outcomes
• Complaints & incidents (breach management)
• Regulatory change & governance support
• Training & awareness
• Reporting & audit/exam readiness
• Support internal/external audits and FSCA requests by coordinating responses and maintaining evidence packs.
Please apply online
FROGG Recruitment
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