Compliance Officer - Cape Town, South Africa - Parvana Strategic Sourcing

Parvana Strategic Sourcing

Verified Company

Cape Town, South Africa

1 week ago

Posted by:

Thabo Mthembu

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Description

Client Details:

Our client is a premier provider of wealth management services, dedicated to empowering their customers to build an investment portfolio that aligns with their financial aspirations.

Utilising cutting-edge technology, they offer direct investment opportunities through their user-friendly online platform.

Their team of experts is committed to delivering valuable, tailored advice, backed by rigorous research, to meet the unique needs, circumstances and preferences of each customer.

Additionally, our client is a leader in fostering a culture of diversity and inclusion, ensuring that their workforce reflects the communities they serve.

Role Responsibilities:

Implementing relevant legislation regulations and driving quality assurance and compliance adherence.

Collaborating stakeholders in order to maintain a compliance framework.

Identifying / investigating potential compliance breaches, irregularities or areas of concern.

Reviewing and resolving the following:

Complaints received from clients.

Fit and Proper queries.

Maintaining the key individual / representative register, as well as compliance procedures and manuals.

Keeping compliance records up to date.

Conducting and reporting on compliance audits at Adviser offices.

Preferred Qualifications:

Bachelor of Commerce Law Degree or equivalent.

Must be registered with FSCA as a Compliance Officer.

Must have all appropriate SAIFM compliance certifications.

Relevant Skills / Experience:

5 years experience as a Compliance Officer or similar position.

Relevant knowledge, skills and corporate compliance experience.

Knowledge of FICA, FAIS and relevant legislation, regulations and rules.

Experience working with Financial Advisors and Financial Planners.