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Compliance Officer

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Our client is seeking a diligent and detail-oriented Compliance Officer to join their dynamic team. This role offers the opportunity to work within an innovative, market-leading organisation that is at the forefront of financial planning and wealth management. The successful candidate will be responsible for ensuring day-to-day compliance with relevant legislations, regulations, professional standards, accepted business practices, and internal standards.

What you'll do:

As a Compliance Officer, you will play a pivotal role in maintaining the integrity of our client's operations by ensuring adherence to all relevant legislations, regulations, professional standards, accepted business practices, and internal standards. You will liaise regularly with external compliance officers, manage regulated representatives, assist with regulatory submissions, update policies in response to legislative changes, and provide vital training on compliance-related matters. Your role will also involve running compliance-related projects and assisting with website compliance. Your commitment to upholding high standards of compliance will contribute significantly to the success of the organisation.

  • Liaise with external compliance officers on all compliance matters.
  • Assist with Regulatory Submissions such as AUM Declarations and Third Party Compliance Confirmations.
  • Update and implement required policies in response to legislation changes.
  • Manage regulated Representatives on FSP license and maintain Rep and Competency Registers.
  • Ensure compliance with FICA Maintenance of RMCP and POPIA.
  • Provide compliance support for marketing collateral.
  • Train staff on compliance related matters and run compliance related projects.
  • Assist with website compliance and Key Risk Framework development.

What you bring:

The ideal Compliance Officer will bring a wealth of experience in managing compliance within an asset management or similar industry. You will have strong technical knowledge of the compliance regulations and requirements. Your ability to process, organise and present data effectively will be crucial in this role. You will have a keen intellect with a high level of commercial and financial acumen, coupled with excellent interpersonal and communication skills. Your strong prioritisation skills and ability to bring structure to unstructured environments will be highly valued. Above all, your high emotional intelligence will enable you to navigate the complexities of this role effectively.

  • Ability to process, organise and present data in a transparent and easily digestible format.
  • Strong analytical skills with proficiency in Microsoft Excel.
  • Excellent attention to detail coupled with pragmatism and speed of delivery.
  • High level of commercial and financial acumen.
  • Good interpersonal skills with the ability to implement process changes internally as well as through network of advisers and platform partners.
  • Excellent communication skills - both written and verbal.
  • Strong prioritisation skills with the ability to bring structure to unstructured environments.
  • High emotional intelligence.

What sets this company apart:

Our client is a leading provider of discretionary investment management services to top financial advisers and private wealth managers. They are unique and distinctive compared to competitor propositions, offering a competitive advantage that places advisers at the forefront of developments in financial planning and wealth management. Their services are aimed at firms seeking a ‘safe pair of hands’ to partner with, particularly those wanting to combine individualised advice with a scalable operating model. They have significant technology R&D capability and invest significantly in Financial Personality Assessments, Cash Flow Modelling / Financial Needs Analysis, Investor Reporting, and Investor Tools.

What's next:

Ready for an exciting career move? Apply now!

Apply Today by clicking on the link provided!

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Financial Services

Salary: Negotiable

Workplace Type: On-site

Location: Sandton

Job Reference: G6HDLW-D330705F

Date posted: 18 June 2024

Consultant: Jason Mackenzie

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