Compliance Officer

Hire Resolve is looking for an experienced Compliance Officer to join our client’s team—a leading financial services provider. We are seeking a compliance professional with specific industry experience in insurance and asset management to ensure regulatory adherence and uphold industry best practices. This role offers the opportunity to work within a dynamic and reputable organization, playing a key part in fostering a strong compliance culture. If you have a solid background in compliance within these sectors, we want to hear from you!

Responsibilities

• Ensure that all employees understand compliance policies and relevant laws and regulations.
• Develop and deliver training programs on compliance-related topics.
• Act as the point of contact for compliance-related questions, building strong relationships with financial advisors.
• Provide clear and accessible guidance to employees and financial advisors on compliance matters.
• Promote a culture of compliance and ethical behavior within the company.
• Develop and implement a compliance coverage plan based on the approved regulatory framework.
• Implement necessary actions to ensure achievement of compliance plan objectives.
• Assist the Compliance Manager in maintaining compliance policies, procedures, and documentation.
• Ensure that license profile changes are submitted timeously to the Regulator.
• Conduct monitoring as per the agreed compliance coverage plan.
• Maintain all compliance registers.
• Compile a monthly file monitoring schedule and report findings to the Compliance Manager.
• Liaise with internal departments, coordinate meetings with line managers, and provide monitoring feedback to financial advisors.
• Conduct branch monitoring.
• Review internal monitoring processes and results, identifying trends and risks.
• Escalate high-risk findings to the Compliance Manager immediately.
• Assist the Compliance Manager with compliance projects as required.
• Assist the Compliance Manager in compiling internal compliance reports on all compliance activities and risks.
• Support reporting to the regulator and industry bodies.
• Store all compliance records securely for easy retrieval on SharePoint.
• Adhere to correct naming conventions for document storage.
• Maintain compliance documentation on the company intranet.
• Assist the Compliance Manager with compliance training and awareness initiatives.
• Stay informed of regulatory matters by attending webinars and reading industry newsletters.
• Attend regular compliance meetings.
• Address general compliance queries from advisors and other departments, escalating when necessary

Requirements

• Related degree (LLB, Bachelor’s in Law, Finance, Economics, Business Management, or related fields).
• RE1 qualification.
• Registered Phase 1 Compliance Officer with the FSCA.
• RE3 and/or Certificate in Compliance Management (advantageous).
• 3–5 years of relevant experience in a compliance function within financial services.
• Working knowledge of investments, health benefits, non-life (short-term) insurance, and long-term insurance is advantageous.
• Administration and regulatory compliance.

 

• Proficiency in Microsoft Office.
• Bilingual (fluent in English and Afrikaans).
• Professional service delivery.
• Products within the financial services industry.
• FAIS, FICA, POPIA, and related regulations.

Skills

• Ability to manage multiple projects.
• Strong analytical skills for applying regulatory requirements.
• Attention to detail.
• Highly organized and methodical approach.
• Process-driven mindset.
• Dependability and integrity.
• Strong written and verbal communication skills.
• Proactive problem-solving approach.

Benefits 

• Market-related salary

• Contact Hire Resolve for your next career-changing move today

  • Apply for this role today, contact Gustav Vogel at Hire Resolve or on LinkedIn
  • You can also visit the Hire Resolve website: hireresolve.us or email us your CV: [email protected]
  • Please use “Compliance Officer” as your subject line when applying via email

  We will contact you telephonically in 3 days should you be suitable for this vacancy. If you are not suitable, we will put your CV on file and contact you regarding any future vacancies that arise