Compliance Officer with minimum 3 years’ experience dealing with Financial Advisor and Financial Planners (Category 1) in a Distribution environment within the Financial Services Industry, required to start asap.  Responsibilities include the implementation of relevant legislations, drive quality assurance and compliance adherence (long term and short term insurance, collective investments and stockbroking).

Minimum requirements:

  • Relevant qualification – B.Comm Law or equivalent
  • Minimum 3 years’ experience in CAT1 Compliance required
  • Registration with the FSCA as a Compliance Officer required – will also consider candidates working under supervision
  • SAIFM Compliance certification required
  • Knowledge of FICA, FAIS and relevant legislation, regulations and rules required
  • Corporate compliance experience working with Financial Advisers/Planners required
  • Financial service industry experience required

Responsibilities:

  • Maintain compliance framework in collaboration with all stakeholders
  • Identify compliance breaches and investigate irregularities
  • Review, register and resolve complaints received from clients
  • Maintain Key Individual / Representative register
  • Ensure compliance records are updated
  • Review and resolve Fit & Proper queries
  • Maintain compliance procedure and manuals
  • Conduct and report on compliance audits at Adviser offices

If you are a SA citizen and your CV meets the above requirements, please respond via email to lourie@yazoo.co.za

Recognising that diversity is key to excellence, our client especially encourages members of designated groups to apply.

If you have not heard from us within a 2 week period, please deem your application as unsuccessful.