Compliance Officer

SUMMARY:
My client, a boutique Wealth Management firm is looking for a Compliance Officer to join their team.

POSITION INFO:

My client, a boutique Wealth Management firm is looking for a Compliance Officer to join their team. This role is responsible for the compliance support and implementation of risk and compliance policies and procedures for the company. 

Responsibilities:

• Compliance reporting on behalf of business unit; internal and external (statutory) requirements
• Review of planned legislative changes, and make recommendations
• Monitoring of existing legislative changes
• Assist with documentation of processes and procedures, and planned training
• Review of system, and recommendations of system changes required
• FSP license changes as needed
• Compliance monitoring; review of client advisory and investment implementation records (FAIS and FICA)
• Review and approval of client onboarding
• Technical queries; assist advisory, fiduciary and consulting operations with technical queries

Requirements:

• Relevant tertiary qualification a necessity: BCom (Accounting) or BCom Honours in Risk Management
• Completed Accounting or Auditing Articles
• Previous experience in similar function preferred, with proven track record
• Accurate and deadline oriented

Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.