Junior Compliance Officer: Financial Services - Cape Town, South Africa - Yazoo Recruitment Specialists

Yazoo Recruitment Specialists

Verified Company

Cape Town, South Africa

1 week ago

Posted by:

Thabo Mthembu

beBee Recruiter

Description

Junior Compliance Officer with Legal/Compliance Degree and minimum 2 years' compliance experience in the Financial Services and/or Collective Investment Scheme industry, required for this Asset Management Company based in Constantia, Cape Town.

Minimum requirements:

Relevant qualification
B.Comm Law or equivalent
Minimum 2 years' experience within the financial services and/or collective investments schemes required
Registration with the FSCA as a Compliance Officer
Category 1 highly advantageous
Knowledge of Collective Investment Schemes Control Act, Financial Advisory and Intermediary Services Act and Financial Intelligence Act highly beneficial
Good general knowledge of the financial services industry required
ASISA codes and standard knowledge required
FAIS RE1 advantageous

Responsibilities:

Compiling compliance statistical reports
Ensure compliance implementation and maintenance of compliance risk management and monitoring plan
Monitoring primary legislation impacting the business
Ad hoc compliance queries
Review marketing material
Manage ad hoc compliance projects
Application of the TCF outcomes
Maintain FAIS compliance procedures and manuals for the FSP
Maintain Key Individual / Representative register
Monitoring and reporting on all FAIS matters
Monitoring AML compliance

Recognising that diversity is the key to excellence, our client especially encourages members of designated groups to apply.

That you have read and understood our POPI Policy.
That you have no objection to us retaining your personal information in our database for future matching and will notify us in writing should you wish to remove your personal information from our database.
Should suitable opportunities arise we will contact you and request your consent to submit your CV to a specific client for a specific purpose.
That the information you have provided to us is true, correct and up to date.