Job title: Compliance Monitoring Officer
Job type: Permanent
Emp type: Full-time
Salary: ZAR 440,000.00
Location: Cape Town
Job published: 29/06/2020
Job ID: 38426

Job Description

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.


 The Company:


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.


The Role:


  • 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