Compliance Officer
CA Financial Appointments
SUMMARY:
My client, within the financial services sector, is seeking a Compliance Officer to provide operatio
POSITION INFO:
My client, within the financial services sector, is seeking a Compliance Officer to provide operational support to their compliance team and contributing to the compliance oversight of their South African and international entities. The successful candidate will have 3 years of experience in compliance, legal, or risk functions within financial services.
Responsibilities:
- Monitor and track regulatory developments in South Africa, Barbados, and globally
- Help prepare and submit regulatory filings and compliance reports
- Support the maintenance of compliance policies and manuals
- Escalate complex matters to the Senior Compliance Officer
- Assist in performing internal compliance checks and audit preparations
- Help investigate potential compliance breaches and document findings
- Maintenance and management of compliance and risk register's
- Support the administration of the Anti-Money Laundering (AML) and RMCP framework
- Conduct basic transaction monitoring and flag unusual activity for further review
- Assist with internal reviews and compliance audits
- Coordinate employee compliance training logistics
- Maintain training attendance records and monitor completion rates
- Keep abreast of changing regulatory legislation
Requirements:
- Minimum of 3 years' experience in compliance, legal, audit, or regulatory environments (ideally in financial services)
- Relevant Tertiary Qualification
- Familiarity with regulatory frameworks such as FAIS, FIC, AML, FATCA, and MiFID is advantageous
- Detail-oriented, proactive, and eager to learn in a global team environment
Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.
Vacancy posted a month ago
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