A highly regarded, well-established Trust and Investment Management company based in Cape Town has created a Compliance Officer position to implement compliance and risk policies and procedures within the organisation.
Duties & Responsibilities
- Compliance reporting (internal and external)
- Review planned legislative changes, recommending changes to company risk control and operational procedures
- Documentation of relevant processes and procedures
- Development of training plan for relevant processes and procedures
- Review systems and recommend appropriate changes
- FSP licence changes as needed
- Review client advisory and investment implementation records (FIAS and FICA)
- Review and approval of client onboarding
- Assist advisory, fiduciary and consulting operations with technical queries
- Provide backup support for colleagues as required
- Relevant tertiary qualification is a necessity.
- Completed accounting or auditing articles
- Computer literacy - advanced Excel
- Previous experience in a similar function
- Track record of working accurately in a deadline-driven environment
Cost to company of R30 000 p.m. negotiable depending on experience.
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