Our client in the insurance industry commitments to transform and embrace diversity is what drives us to achieve a diverse workplace with employment equity as a key goal to create an inclusive workforce and they are currently looking for a Category II Compliance Officer - Life experience is essential in the Distribution Channels
Duties & Responsibilities
Reporting to the Head: Compliance – Distribution, they will overall be responsible for the implementation of relevant legislation regulations and to drive quality assurance and compliance adherence in the company's Adviser offices (long- and short-term assurance, collective investments and stockbroking).
Responsibilities:
• Maintain a compliance framework in collaboration with the relevant stakeholders
• Identify potential compliance breaches and investigate compliance irregularities or areas of concern
• Review, register and resolve complaints received from clients
• Maintain the key individual / representative register
• Ensure compliance records are up to date
• Review and resolve Fit and Proper queries
• Maintain the compliance procedures and manuals
• Conduct and report on compliance audits at Adviser offices
Desired Experience & Qualification
Minimum requirements:
• Relevant qualification such as B Com Law or equivalent (Essential)
• Must be a registered and FSCA Compliance Officer In the possession of all appropriate SAIFM Compliance certification
• Knowledge of FICA, FAIS and relevant legislation, regulations and rules
• Relevant knowledge, skills and corporate compliance experience
• Relevant experience within the financial services industry
• Computer literate in MS Office
Competencies:
• Interpersonal, communication and report writing skills
• Ability to work independently and as part of team
• Ability to operate in a high-performance environment at different levels
• Client relationship building skills.
