Compliance Officer | Rondebosch

The position involves accurate risk and compliance reporting, including ad-hoc review and analysis work for the Risk and Compliance Committee. This role is ideal for recent graduates with a degree in Accounting or Risk Management, or individuals with experience in accounting or auditing articles.

Key Responsibilities:

FSP Compliance / Risk Officer:

• Conduct compliance reporting for business units to meet internal and external (statutory) requirements.
• Review upcoming legislative changes and recommend necessary adjustments to risk control and operational procedures. Monitor existing legislative changes.
• Assist in documenting processes and procedures, and plan related training sessions.
• Evaluate system performance and recommend required changes.
• Handle FSP license changes as needed.

Compliance Monitoring:

• Review client advisory and investment implementation records (FAIS and FICA).
• Oversee and approve client onboarding processes.

Technical Support:

• Assist advisory, fiduciary, and consulting operations with technical queries.
• Provide support and recommendations for the development of Supervision candidates skills and knowledge.

Additional Responsibilities:

• Provide back-up support for colleagues as required.

Key Requirements:

• Relevant tertiary qualification: B Com (Accounting) or B Com Honours in Risk Management.
• Completed accounting or auditing articles.
• Proficiency in computer literacy, particularly advanced MS Excel.
• Previous experience in a similar role is preferred, with a proven track record.
• Must meet fit and proper requirements.
• Must be accurate and deadline-oriented.
• If you are a detail-oriented individual with the required qualifications and experience, we encourage you to apply for this exciting opportunity.