Compliance Officer

CA Financial Appointments

Cape Town, Western Cape
Permanent
Full-time

1 month ago

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

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