Compliance Officer Cat Ii | Midrand

Our client is seeking a Category II Compliance Officer to join their team. This position reports to the Head of Compliance – Distribution and involves ensuring adherence to relevant legislative regulations and maintaining quality assurance in the client's offices, which cover long-term and short-term assurance, collective investments, and stockbroking.Key Responsibilities:Develop and maintain a comprehensive compliance framework with relevant stakeholders.Identify and investigate potential compliance breaches and areas of concern.Review, register, and resolve client complaints.Maintain the key individual/representative register.Ensure that all compliance records are accurate and up-to-date.Address and resolve Fit and Proper queries.Update and maintain compliance procedures and manuals.Conduct compliance audits at Adviser offices and report findings.Qualifications and Experience:Relevant qualification such as BCom Law or equivalent.Registered FSCA Compliance Officer (CAT II).RE 1 and RE 3 certifications.3 – 5 years of compliance experience in the financial services industry.In-depth knowledge of FICA, FAIS, and relevant legislation, regulations, and rules.Experience in corporate compliance and working with Financial Advisers/Planners.Proficiency in MS Office.Skills and Competencies:Strong interpersonal, communication, and report writing skills.Ability to work independently and as part of a team.Capable of operating in a high-performance environment at various levels.Excellent client relationship-building skills.
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