The Assistant Compliance Officer will be responsible for implementing and enforcing the organisation’s or business units’ compliance program, consults on an on-going basis with Operational Managers. Ensures conformance with applicable laws and regulations covering diverse fields. Performs statistical sampling and monitoring.
- Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviour.
- Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner
- Analyse and comment on draft legislation
- Advise management, employees and clients on all compliance and regulatory matters that affect business decisions
- Monitor compliance with Supplemental Deeds, ASISA Mandates and relevant legislative requirements
- Assist with the compilation and submission of the quarterly and annual FSCA reporting relating to FAIS and CISCA
- Assist in monitoring compliance with applicable legislation and internal requirements with a specific focus on Collective Investment Schemes and compliance with CISCA and Regulation 28, Financial Intelligence Centre Act, Financial Advisory and Intermediary Services Act and POPIA.
- Review and comment on draft Supplemental Deeds
- Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of compliance breaches and other regulatory issues
- Compliance and legal projects management
- Degree or Diploma with 4 to 5 years related experience or qualified by experience.
- Compliance monitoring and reporting
- Risk Management
- Compliance advice and training
- Documentation reviews
Qualification & Experience:
- Relevant tertiary qualification
- Certificate in Compliance Management would be an advantage
- A minimum of 4 years’ experience in the Collective Investment Schemes environment and working experience with regards to the Collective Investments Control act and sub-ordinate legislation
- Financial Advisory and Intermediary experience will be advantageous
Vacancy Type: Full Time
Job Location: Cape Town, Western Cape, South Africa
Application Deadline: N/A