Compliance Officer

Location: CapeTown, South Africa
Salary: R400 000 pa
Recruiter: Moving Heads Personnel CC
Job Ref: Comp Off
Summary: Compliance Officer



Job Description

Compliance Officer

Cape Town

R----- pa


Under limited supervision provide Compliance and Risk management support to the team

Understand the impact of statutory/legal obligations and government legal requirements where required as part of the job function.

Perform complex and specialised tasks, while considering the implication of the decisions and consequences thereof.

Collect, compile and analyse complex data and information in order to exercise independent judgement and reasoning with the necessary ability.


Compliance and Risk Support

  • Assist the sales team with compliance queries
  • Review marketing documentation to ensure compliance
  • Assist the administration team with compliance escalations for client cases
  • Facilitate annual compliance training for the administration team
  • Assist the Operations and Investments teams with compliance queries
  • Checking monthly compliance reports 
  • Maintain internal compliance documentation
  • Quarterly compliance reporting to risk forum
  • Annual CRS tax compliance reporting
  • Fund registrations


Risk Management Support

  • Assist Investments Group Risk with the business unit’s risk queries
  • Annual and ad hoc risk reporting
  • Quarterly risk register reporting
  • Manage the complaints register


Due Diligence

  • Draft due diligence reviews
  • Ensure that all due diligence documentation received is fully completed
  • Liaise with the sales team to resolve any discrepancies on due diligence documentation received
  • Liaise with internal business partners and Exco on due diligence documents reviews
  • Maintain due diligence questionnaire templates
  • Completing due diligence questionnaires
  • Ensure that due diligence information is maintained and kept up to date


Legal Support

  • Liaison and completion of Distribution Agreements
  • Assisting with agreement queries
  • Facilitate legal agreement process with the internal legal counsel and intermediary firms
  • Ensuring that the correct information is completed in legal agreements
  • Maintain all legal agreement templates
  • Maintain the agreement matrix


General Administration Support

  • Ongoing liaison with outsourced business partners and clients
  • Responding to client enquiries and passing these to business partners when necessary
  • Ensuring resolution of enquiries
  • Project management of various internal projects and product developments
  • Specific and ad hoc support as required by the team
  • Document management and electronic filing
  • Internal and external training material


Qualifications, Experience, Knowledge and Skills


  • A relevant business degree or similar qualification
  • A minimum of 3 – 5 years’ experience working in a compliance environment
  • A minimum of 5 years’ experience in the Financial Services Industry is essential with preference given to compliance and operations experience
  • Experience in international compliance an advantage
  • Anti-money Laundering (AML) is a must
  • Microsoft Office – Excel, Word, PowerPoint
  • Other Compliance programme experience an advantage e.g. Siron
  • Deal with and resolve ad-hoc complaints, enquiries and investigations
  • Supervision of output of employees
  • Process more complex transactions and assist juniors with complex transactions
  • Good understanding of regulatory and statutory environment
  • Excellent written and verbal communication skills


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