This is a really good opportunity for a COMPLIANCE MONITORING OFFICER to have the opportunity to SET UP ALL NEW COMPLIANCE MONITORING CONTROLS & PROCESSES for a NEW RETAIL INVESTMENT (LISP) Business.
YOU will have the chance too really develop your Legislation & Regulation knowledge as well as gain EXPERT insight into the LISP industry.
Based in Johannesburg, this Compliance Monitoring Officer role is paying 400K P/A.
This Elite Asset Management Firm, offers a wide range of specialised investment solutions to meet a variety of Local & International investor needs. In order to create an integrated service offering for their clients they are in the process of opening up a BRAND NEW RETAIL INVESTMENT (LISP) Business that will eventually merge with their existing LISP business.
It is an absolute rarity in the job market to be part of an entirely NEW Investment Business having the opportunity to create something from scratch whilst being employed by one of the LARGEST Asset Managers in Africa & supported by the LARGEST FINANCIAL SERVICES Group in Africa.
• Support the achievement of the businesses 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.
• 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
We get many responses so please be patient with us and if you have not had a response to your application within 14 days please consider your application to be unsuccessful. To help us respond faster, please can you make sure you read the requirements carefully & ensure your application entails all of the details we need.