Are you an experienced compliance professional with a keen eye for detail and a passion for regulatory excellence?
Our client has an opportunity for a Senior Compliance Specialist: FAIS and Insurance to join their team.
In this pivotal role, you will be responsible for implementing robust procedures to ensure the organization adheres to all relevant regulations and legislation.
You will provide expert advice to internal business units on compliance matters, lead the resolution of complaints from clients, regulators, and ombuds, and pursue necessary corrective actions.
If you thrive in a dynamic environment and are ready to make a significant impact, we invite you to apply.
Duties and Responsibilities Monitoring FAIS compliance by all key individuals and representatives and ensure relevant changes are communicated to the FSCA.
Ensure compliance records are up to date.
Assist and support the development of Group Compliance Function.
Participation in the drafting and implementation of compliance frameworks, policies, manuals, and technical guidelines.
Assist and support the Group Compliance Function.
Assist and implement processes around statutory registrations with regulatory bodies, drafting of business and compliance process descriptions for regulatory registrations, recordkeeping and changes in relation to registrations or updating regulatory bodies.
Ensure CPD requirements are met, updated Fit & Proper Competence register includes CPD Register and attend to queries, Central Representative Register is updated, Changes of Profiles with the FSCA, monthly call audits in respect of the CCC representatives.
Coordinating and scheduling required compliance training for staff.
Education and Qualifications Relevant 3-4 years qualification consisting of Legal or Finance.
LLB plus a relevant Compliance Management Certificate and/or Certification.
RE1 and RE5 will be an advantage.
5 to 7 years' experience in a legal or insurance environment. Strong knowledge of regulatory compliance guidelines and standards within a financial services sector.
Salary: R50 000 per month www.agclegal.co.za Brought to you by AGC Legal Recruitment