Compliance Officer

We are recruiting on behalf of a client for a Compliance Officer to facilitate and monitor regulatory compliance across its business and client portfolio. Reporting to the Chief Operating Officer, the successful candidate will play a key role in identifying and managing compliance risks, maintaining strong regulatory standards, and ensuring that policies, procedures and business practices remain aligned with applicable legislation.

Responsibilities:

• Facilitate and monitor compliance with relevant legislation, regulations, internal policies and ethical standards.
• Develop, implement and maintain compliance programmes, policies, procedures and risk management frameworks.
• Identify, assess and manage compliance risks and recommend appropriate mitigation strategies.
• Apply and provide guidance on the FAIS Act, FICA, Codes of Conduct and other relevant regulatory requirements.
• Monitor the conduct and compliance requirements of representatives and Key Individuals.
• Coordinate and conduct quarterly compliance reviews with clients and follow up on outstanding matters.
• Compile and submit regulatory returns and compliance reports to the FSCA and FIC.
• Facilitate compliance risk management plans based on FSP risk profiles.
• Liaise and communicate with industry regulators and key internal and external stakeholders.
• Provide compliance training, regulatory updates and guidance to employees, clients and management.
• Maintain accurate compliance records and coordinate annual professional indemnity insurance renewals.
• Monitor regulatory developments and ensure that relevant changes are effectively communicated and implemented.

Requirements:

• FSCA Category I and Category II, Phase 1 and Phase 2 accreditation.
• Bachelor’s degree in Law, Finance, Business Administration or a related discipline.
• Minimum of 5 years’ experience in compliance management.
• Strong working knowledge of FAIS, FICA and applicable financial services regulatory frameworks.
• Solid understanding of finance and investment funds is essential.
• Familiarity with venture capital (VC) and private equity (PE) terminology.
• Strong understanding of financial market trends and regulatory developments.
• Excellent analytical, problem-solving and report-writing skills.
• Strong written and verbal communication skills.
• Highly organised, detail-oriented and deadline-driven, with a high level of integrity and professionalism.
• Ability to adapt within a fast-paced environment while working effectively with multiple stakeholders.

EE Disclaimer:

All positions will be filled in accordance with the company's Employment Equity plan. We encourage people with disabilities to apply.

Application Unsuccessful Disclaimer:

If you do not receive feedback within two weeks of your application, please consider it unsuccessful. Keep an eye on our website and other career sites for future opportunities.

REF: NJ01