Compliance Officer - Midrand, South Africa - PSG Konsult

PSG Konsult
PSG Konsult
Verified Company
Midrand, South Africa

1 week ago

Thabo Mthembu

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Thabo Mthembu

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Description

Job description:

PSG Distribution is currently recruiting for a Category I Compliance Officer position


Reporting to the Head:
Compliance - Distribution, you will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the PSG 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 concern
  • Review, register and resolve complaints received from clients
  • Maintain the key individual / representative register
  • Ensure compliance records are up to date
  • Review and resolve Fit and Proper queries
  • Maintain the compliance procedures and manuals
  • Conduct and report on compliance audits at Adviser offices

Minimum requirements:


  • Relevant qualification such as B Com Law or equivalent
  • Must be a registered and FSCA Compliance Officer, in the possession of all appropriate SAIFM Compliance certification
years compliance experience in the financial services industry

  • Knowledge of FICA, FAIS and relevant legislation, regulations and rules
  • Relevant knowledge, skills and corporate compliance experience
  • Relevant experience working with Financial Advisers / Financial Planners
  • Computer literate in MS Office

Competencies required:


  • Interpersonal, communication and report writing skills
  • Ability to work independently and as part of team
  • Ability to operate in a highperformance environment at different levels
  • Client relationship building skills.

Application Question(s):

  • Are you registered with the FSCA as a Compliance Officer?

Experience:

- compliance financial services: 1 year (required)


License/Certification:

  • BCom Law or LLB Degree (required)
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