Job title: CAT 3 Compliance Officer: Investments
Job type: Permanent
Emp type: Full-time
Industry: Human Resources
Expertise: Human Resources
Salary type: Annual
Location: Cape Town
Job published: 19-12-2019
Job ID: 34349
Contact name: Megan Smillie, Buhle Mdluli, Brylea Purnell
Phone number: 021 5554402, 0215554402, 021 555 4402
Contact email:,,

Job Description

A leading Asset Manager is looking for a Compliance Officer to join their team. The ideal candidate is a go-getter with a pragmatic approach to systems and processes, solid knowledge of various key Acts, and exposure to Cat 1 and Cat 3 business.
The compliance Officer will provide support as a senior resource within the governance team, particularly ERT compliance matters.

Experience & Qualifications:

  • BComm Honours/BusSci degree in Portfolio Management or Law degree/compliance related qualification.
  • Cat 1 & possibly Cat 3 FAIS registered CO.
  • Member of CISA-C (Prac) designation is a bonus.
  • 3-5 years, experience in a compliance role in a financial services environment.
  • Exposure to Cat 1 & Cat 3 businesses.

Relevant Systems Knowledge:

  • Proficient in MS Office.

Duties and Responsibilities:

  • Review business processes/changes thereto WRT control environment.
  • Provide legal support to business development and operations areas.
  • Assist with drafting and updating compliance documentation.
  • Responsibility for Cat 1 and Cat 3 FAIS licenses and supervisor of another CO.
  • Supervise and assist with compliance monitoring and recommendations for any enhancements.
  • Liaise with employees and management regularly on compliance issues.
  • Key Acts: FAIS (essential), LTIA, FICA, POCDATARA, FATCA, POPI etc.