Compliance Officer | Pretoria

Our client is a national supplier of practice management, business development services, and compliance monitoring across South Africa. Their core mission is to keep businesses in business by assisting independent financial advisors, corporate FSPs, and other sectors to improve productivity, remain compliant, and prosper. They pride themselves on employing client-focused, high-caliber individuals who set high standards and are willing to go the extra mile.

 

 

Responsibilities:

Deliver an outsourced compliance function to financial services clients (including independent FSPs and corporate clients).

 
Fulfil the compliance function required in terms of FAIS, FICA, and other applicable legislation and business requirements.

 
Establish a culture of compliance and provide a compliance risk framework to clients.

 
Assist clients in achieving Treating Customers Fairly (TCF) outcomes.

 
Perform all functions according to the standards and deadlines set by the Regional Manager.

 
Provide clients with high-quality, personalized, and substantive reports.

 
Involve clients in compliance processes and provide post-monitoring feedback.

 
Maintain thorough records as required by the business. 

 

Positively contribute to the well-being and development of the regional team, the company, and its clients.

 
Actively participate in sourcing and signing up new clients.

 

 

 


Minimum Requirements:

A completed Legal, Accounting, or financial degree.

 
Essential: Must be registered and approved by the FSCA (FSB) as a Compliance Officer for Category I.

 
Preference will be given to candidates who additionally hold Category II approval.

 
A minimum of 3 years’ proven experience in compliance or risk management within the financial services industry.

 
A valid driver’s license is required.