Compliance Officer

My client is currently recruiting for a Category II Compliance Officer position. Reporting to the Head: Compliance. You will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the Adviser offices (long- and short-term assurance, collective investments and stockbroking).
Responsibilities: Maintain a compliance framework in collaboration with the relevant stakeholders Identify potential compliance breaches and investigate compliance irregularities or areas of concernReview, register and resolve complaints received from clientsMaintain the key individual / representative registerEnsure compliance records are up to dateReview and resolve Fit and Proper queriesMaintain the compliance procedures and manualsConduct and report on compliance audits at Adviser offices#J-18808-Ljbffr