Job title: Risk & Compliance Monitoring Officer – oversee COMPLIANCE MONITORING initiatives for newly established Investment Platform Business. R400k p/a (NEG) 
Job type: Permanent
Emp type: Full-time
Salary: ZAR 440,000.00
Location: Cape Town
Job published: 02/12/2020
Job ID: 38426

Job Description

Excellent opportunity for a Risk & Compliance Officer to oversee all COMPLIANCE & RISK MONITORING activities and processes for a newly established Investment LISP Platform Business. 


This role will give you the chance to take a STEP UP IN YOUR CAREER and to continuously review the Operational Compliance Risk Management Control environment for this Business, using your initiative to implement NEW controls to correct issues and mitigate all risks. 


Based in Cape Townthis Risk & Compliance Monitoring Officer role is paying around R400k p/a (NEG) 


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 centre of their ethos, they are set to totally redefine the Investment Industry. 


 The Role: 

  • Support and work closely with the Operations Department to implement various risk and compliance monitoring controls and processes. 
  • Review of the compliance & risk management control environment across the business. 
  • Provide regular reports to Senior Operations Management stakeholders. 
  • Support compliance controls review. 
  • Review all business activities to ensure compliance with applicable regulatory requirements.
  • Track & maintain monitoring & audit system

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 & Risk experience
  • Good knowledge of business procedures, rules, process & controls
  • Knowledge of an Investment LISP Platform