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Compliance Officer

Compliance Officer
Company:

Ca Financial Appointments

Place:

Cape Town, Western Cape

Job Function:

Legal

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Details of the offer

My 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 queries
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Source: Jobleads
Job Function:

Requirements

Compliance Officer
Company:

Ca Financial Appointments

Place:

Cape Town, Western Cape

Job Function:

Legal

Report this offer

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