Excellent opportunity for a COMPLIANCE OFFICER to join a NEW RETAIL INVESTMENT (LISP) Business that is currently being created by a LEADING Asset Management Firm. Taking the lead, you will be responsible for MONITORING the ENTIRE environment, ensuring that all is in line with REGULATORY requirements whilst also assisting in SETTING UP all COMPLIANCE CONTROLS.
This is an exceptional chance to really develop your INVESTMENT & ASSET MANAGEMENT knowledge & experience.
Based in Johannesburg, this Compliance Officer role is paying R400K – R500K P/A
Recently crowned as the TOP Investment& Asset Manager in Africa, this market - leader offers a wide range of specialised investment products to meet a variety of investor needs. In order to create a holistic experience for all current investors, 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 something entirely NEW & REVOLUTIONARY, having the opportunity to create something from scratch whilst being 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
If you have not had a response to your application within 14 days please consider your application to be unsuccessful.