Senior Compliance Officer - CAT II

AES Global

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AES Global

Cape Town, South Africa

www.aesglobal.io
021 201 7100

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Applications for this position closed on 12/Mar

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Senior Compliance Officer - CAT II

Location Cape Town, South Africa
Employment Type Full Time
Seniority Level Mid Senior
Experience 5 to 10 years
Remuneration R750
Remuneration Type Cost to company
Remuneration Frequency Yearly
Benefits Medical Aid Contribution; Provident Fund Contribution; Annual Bonuses
21/01/2020 Reference Number: AES2925066863
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Skills

  • Compliance
  • Finance
  • Legal

Job Description

Our client is committed to embrace diversity, and achieve a diverse workplace with employment equity as a key goal. We give preference to applicants from designated groups and we encourage people with disability to apply.

This is an amazing opportunity for an experienced Compliance specialist, seeking the opportunity to have autonomy, and steer the Policy and Guidance for the business. The client is a very highly regarded Investment house, and is seeking an experienced Category II Compliance Officer to join them.

This role will be reporting to the Head of Compliance for Distribution, you will lead and own the implementation of legislation regulations. You will drive quality assurance and compliance adherence, working closely with the Adviser offices. Exposure to long- and short-term assurance, collective investments and stockbroking environments will be beneficial.

  • Relevant qualification such as B Com Law or equivalent
  • Must be a registered and FSCA Compliance Officer
  • Must hold all appropriate SAIFM Compliance certification
  • Knowledge of FICA, FAIS and relevant legislation, regulations and rules
  • Relevant knowledge, skills and corporate compliance experience

 

Company Description

Our client is committed to embrace diversity, and achieve a diverse workplace with employment equity as a key goal. We give preference to applicants from designated groups and we encourage people with disability to apply.


This is an amazing opportunity for an experienced Compliance specialist, seeking the opportunity to have autonomy, and steer the Policy and Guidance for the business. The client is a very highly regarded Investment house, and is seeking an experienced Category II Compliance Officer to join them.


This role will be reporting to the Head of Compliance for Distribution, you will lead and own the implementation of legislation regulations. You will drive quality assurance and compliance adherence, working closely with the Adviser offices. Exposure to long- and short-term assurance, collective investments and stockbroking environments will be beneficial.



  • Relevant qualification such as B Com Law or equivalent

  • Must be a registered and FSCA Compliance Officer

  • Must hold all appropriate SAIFM Compliance certification

  • Knowledge of FICA, FAIS and relevant legislation, regulations and rules

  • Relevant knowledge, skills and corporate compliance experience


 

Apply Now
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