Assistant Compliance Officer

Assistant Compliance Officer

Cape Town

Implement and enforce 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.

• 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

• 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

• Advise management, employees and clients on all compliance and regulatory matters that affect business decisions

• Analyse and comment on draft legislation

• Assist in developing, promoting, implementing and maintaining compliance standards and procedures that enable employees to act in a compliant manner

• Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of compliance breaches and other regulatory issues

• Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviour.

• Relevant tertiary qualification

• 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

• Certificate in Compliance Management would be an advantage

• Financial Advisory and Intermediary experience will be advantageous m14.4si