Compliance Officer - Investment Industry (Experienced Candidates Or Candidates With Completed A[...]

Compliance Officer - Investment IndustryThis vacancy has been created within our client's risk and compliance team, based at their Cape Town office. This role is responsible for compliance support and implementation of risk and compliance policies and procedures for the advisory, fiduciary and consulting operations. The role also includes the accurate compilation of risk and compliance reporting, including adhoc review and analysis work by the Risk and Compliance Committee. The role is ideally suited to a recent graduate with Accounting and/or Risk Management as part of their completed degree, or where previous working experience includes completed accounting or auditing articles.Duties & ResponsibilitiesKey responsibilities include:Compliance reporting on behalf of business unit: internal and external (statutory) requirementsReview of planned legislative changes, and make recommendations of changes required in risk control and operational procedures. Monitoring of existing legislative changesAssist with documentation of processes and procedures, and planned training of sameReview of system, and recommendations of system changes requiredFSP license changes as neededReview of client advisory and investment implementation records (FAIS and FICA)Review and approval of client onboardingAssist advisory, fiduciary and consulting operations with technical queriesSupport and recommendations relating to Supervision candidate skills, knowledge and general developmentBack up support for colleagues, as requiredDesired Experience & QualificationKey requirements for applicants:Relevant tertiary qualification a necessity: B Com (Accounting) or B Com Honours in Risk ManagementCompleted accounting or auditing articlesComputer literacy a necessity: including MS Excel (advanced)Previous experience in similar function preferred, with proven track recordFit and proper requirements all in order, and clearAccurate and deadline orientedPlease note: only shortlisted candidates will be contacted.
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