Compliance Monitoring Officer with excellent FICA, FAIS, LTIA exp join NEW DIGITAL Retail Investment Business. Cape Town. R450k– R500k p/a.
This is a very good opportunity for a Compliance Monitoring Officer who has excellent FICA, FAIS & LTIA regulation knowledge to join a NEW DIGITAL Retail Investment Business and MANAGE the entire Compliance Risk Management Control Environment.
Based in Cape Town, this Compliance Monitoring Officer role is paying R450k – R500k p/a.
This forward-thinking Wealth & Investment Manager has recently been established by an award-winning Financial Services Conglomerate. Their Offshore & Onshore Investment Products are the first of its kind in South Africa and with technology, customer-centricity and automation being at the center of their ethos, they are set to totally redefine the Investment Industry.
- Support the achievement of the business’s overall compliance mandate.
- Review of the compliance & risk management control environment across the business.
- Support compliance controls review.
- Review all business activities to ensure compliance with applicable regulatory requirements.
- Track & maintain monitoring & audit system.
YOU will have the opportunity to be part of established, reputable Financial Services Brand but as this is a NEW Business, YOU will be given total autonomy and control of the position and really make it you own.
Experience & Skills needed:
- Relevant Degree/ Diploma - Accounting, Auditing, Compliance, Economics , Law etc
- Excellent working knowledge of FAIS, FICA, POCA, CIS, LTIA etc
- 3+ years Compliance Monitoring experience
- Good knowledge of business procedures, rules, process & controls
- Knowledge of an Investment LISP Platform