Ca Financial Appointments | Compliance Officer Cape Town

Compliance OfficerMy client, a boutique Wealth Management firm, is looking for a Compliance Officer to join their team. This role is responsible for the compliance support and implementation of risk and compliance policies and procedures for the company.
Responsibilities: Compliance reporting on behalf of business unit; internal and external (statutory) requirementsReview of planned legislative changes, and make recommendationsMonitoring of existing legislative changesAssist with documentation of processes and procedures, and planned trainingReview of system, and recommendations of system changes requiredFSP license changes as neededCompliance monitoring; review of client advisory and investment implementation records (FAIS and FICA)Review and approval of client onboardingTechnical queries; assist advisory, fiduciary and consulting operations with technical queriesRequirements: Relevant tertiary qualification a necessity: BCom (Accounting) or BCom Honours in Risk ManagementCompleted Accounting or Auditing ArticlesPrevious experience in similar function preferred, with proven track recordAccurate and deadline orientedPlease note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.

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