Compliance Officer (Market Conduct)
Full-time
Humankind
About the Role
We're looking for a Compliance Officer to act as a trusted advisory partner within our second-line assurance function. This is an advisory role, not a monitoring role — you'll embed regulatory requirements into business decision-making, product design, and operational practices across a large, complex Investment Management environment.
Scope
We're looking for a Compliance Officer to act as a trusted advisory partner within our second-line assurance function. This is an advisory role, not a monitoring role — you'll embed regulatory requirements into business decision-making, product design, and operational practices across a large, complex Investment Management environment.
Scope
- Advisory oversight across more than 6 legal entities , representing approximately R880 billion in assets under management
- Regulatory frameworks including FAIS, CISCA, PFA, LTI, and POPIA
- Provide practical, solution-oriented compliance advice to operational, product, distribution, and support teams
- Embed regulatory requirements into products, services, and customer journeys
- Identify regulatory and conduct risks; partner with the business on sustainable remediation
- Support fair customer outcomes and challenge practices that expose the business to regulatory harm
- Participate in change initiatives and projects, addressing regulatory considerations upfront
- Maintain and enhance the Compliance Requirement Universe and related controls
- Track compliance breaches, support root-cause analysis and escalation
- Prepare compliance reports for management and governance committees
- Support regulatory submissions, inspections, thematic reviews, and audits
- Deliver compliance training and coach junior team members
- Matric plus a relevant tertiary qualification (Law, Compliance, Risk Management, Finance, or Business)
- FSCA approval as a Compliance Officer
- RE3 or RE4, with Phase I Compliance approval
- 5–8 years' regulatory compliance experience in financial services or a regulated environment
- Proven experience in Investment Management
- Demonstrated experience in business partnering/advisory compliance roles
- Experience in breach management and regulatory reporting
- Strong knowledge of market conduct legislation (FAIS, CISCA, POPIA, PFA)
- Exposure to compliance technology, data, and AI tools (advantageous)
Vacancy posted 1 day ago
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