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    Compliance Officer CAT2 - Cape Town, South Africa - FROGG Recruitment

    FROGG Recruitment
    FROGG Recruitment Cape Town, South Africa

    1 day ago

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    Full time
    Description

    Compliance Officer CAT2 Cape Town

    Our client is looking for a Compliance Officer with CAT2 who is able to provide legal and compliance support on systems, processes and knowledge of financial services regulatory environment.

    Salary: Market Related

    Minimum Requirements:

    • Matric
    • 3 – 5 years in legal/compliance role in financial environment
    • BComm Honours / law degree / compliance related qualification.
    • BusSci degree in Portfolio Management would be an advantage.
    • Cat II FAIS registered CO / CO for ManCo.
    • Member of CISA – C (Prac) advantageous.
    • Exposure to asset management and/or ManCo.
    • Knowledge of FAIS/CISCA.
    • Statpro monitoring system or similar post trade portfolio software

    Key Responsibilities:

    • Advise management in respect of implication and consequences of business decisions in the Collective Investment Scheme/Asset Management area.
    • Liaise with management regularly on compliance issues.
    • Liaise with Trustees
    • Assist with due diligence in relation to offshore funds.
    • Provide reporting to various company boards, risk and audit committees, and regulatory bodies where applicable.
    • Investigate and oversee asset management breaches (post trade compliance).
    • Liaise with Regulator in assisting with FSCA applications and any correspondence with regards to agreements, addendums, and supplemental deeds.
    • Fulfill an advisory role for new business initiatives and projects.
    • Maintain knowledge staying abreast of industry and regulatory changes.

    Please Apply Online at FROGG Recruitment