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.