Menu Close

Pretoria: Compliance Officer – Wealth

Compliance Officer – Wealth

Posted on 2025-03-03

Salary Market related
Category Accounting Finance
Location Tshwane  /  Pretoria

Job Summary

Our client, with more than 20 years of experience within the financial services field and a nationwide footprint, is seeking a compliance officer who will ensure that the company operates within the legal and regulatory frameworks applicable to the financial services industry. Location: Bellville/Bloemfontein/Pretoria. Formal Education: Related degree (LLB, Bachelors in Law, Finance, Economics, Business Management or related fields); RE1; Registered Phase 1 Compliance Officer with the FSCA; RE3 and/or Certificate in Compliance Management (advantageous). Experience: 3-5 years related experience in a compliance function in the financial services with working knowledge of investments, health benefits, non-life (short-term) insurance and long-term insurance being an advantage. Knowledge: Technological: Microsoft Office; Bilingual (fluent in English and Afrikaans); Products within Industry; FAIS, FICA, POPIA and related Acts in regulatory universe. Dutie s : People: Training : Ensuring that all employees understand the compliance policies and relevant laws and regulations. This includes developing and delivering training programs on compliance-related topics. Communication: Acting as the point of contact for compliance-related questions and building strong relationships with financial advisors. Providing clear and accessible guidance to all employees on compliance matters. Fostering a Compliance Culture : Promoting a culture of compliance and ethical behavior. Processes: Regulatory Risk Management support: Develop and implement a compliance coverage plan based on the approved regulatory framework; Implement all necessary actions as per the plan to ensure achievement of the compliance plan objectives; Assist the Compliance Manager in the maintenance of compliance policies, procedures and other compliance documentation. Licensing and profile changes: Ensure that license profile changes are submitted timeously to the Regulator. Monitoring: Conduct monitoring as per the agreed compliance coverage plan; Monitor and or maintain all compliance registers; Compile a monthly file monitoring schedule as per the monitoring plan and report findings to the Compliance Manager; Liaise with internal departments, co-ordinate meetings with line managers and provide monitoring feedback to financial advisors.; Conduct branch monitoring; Review internal monitoring process and results, identify trends and risks for Company; Escalate high risk findings immediately. Ad hoc support for Compliance projects: Assist the Compliance Manager with any compliance project. Reporting: Assist Compliance Manager to compile internal compliance reports on all compliance activities, compliance risks; Assist with reporting to the regulator and other industry bodies. Recordkeeping: Store all compliance records securely on SharePoint; Correct naming conventions must be adhered to when documents are stored on SharePoint; Maintain compliance documentation on the intranet. T raining and Awareness: Assist with compliance training and awareness initiatives. G eneral: Stay abreast of regulatory matter by attending webinars en reading newsletters; Attend regular compliance meetings as required. Attend to general compliance queries from advisors as well as other departments within the company and escalating where necessary.

View Job  Pretoria: Front-End Developer posted by Goldman Tech

Compliance Officer – Wealth position available in Tshwane, Pretoria. This job position was posted by . The job has been posted on 2025-03-03 in the Accounting Finance category

Click Go Apply to apply online!


You might also like these jobs in the same area.

Apply directly for this position. Please read all instructions carefully.

We do not process job applications; we simply aggregate and display job listings.

More related positions


Centurion: Junior Compliance Officer – Immediatly posted by CCRSLEGAL

CCRS Legal is a multidisciplinary consulting services provider located in Pretoria. We specialize in Business, Tax, Legal, Research, Think tank, and Polling services for micro and medium enterprises. Emphasizing small beginnings as a roadmap to future succ


View Job
Junior Compliance Officer – Immediatly

Tokai: Senior Compliance Officer

Exceptional opportunity for an experienced Investment Compliance professional to join a well-respected investment management team as a Senior Compliance Officer. Great opportunity for an experienced Manco experienced Compliance Officer to join a growing an


View Job
Senior Compliance Officer

Durban: Academic Monitoring & Compliance Officer posted by Kontak Recruitment

? Academic Monitoring & Compliance Officer (JB5069) ? Durban, KwaZulu-Natal? R18,000 - R20,000 CTC per month? 1-Year Fixed Term ContractAre you passionate about higher education compliance and quality assurance? This role ensures adherence to accreditation


View Job
Academic Monitoring & Compliance Officer

Johannesburg: Compliance Officer

Role Purpose Implement the compliance strategy aligned to the compliance monitoring plan to assist the MI business in honoring their responsibility to comply with applicable regulatory requirements through directing the compliance function through identifi


View Job
Compliance Officer

Cape Town City Centre: Compliance Officer

ð??¹ Corporate Governance Support â?? Provide company secretarial services and assist the Group Company Secretary with governance and regulatory duties. â?? Draft and review resolutions and minutes, ensuring proper documentation in the resolution register.


View Job
Compliance Officer

Johannesburg: Compliance Officer

Functions: Ensure compliance with relevant legal, statutory and regulatory requirements relating to FICA. Oversee, implement and maintain RMCP compliance. Coordinate and support internal and external audits and regulatory inspections. Requirements: Bachelo


View Job
Compliance Officer

Uitenhage: Property Maintenance Manager / Compliance Officer

Job Requirements: Property Maintenance Manager Proven experience in property maintenance. Strong knowledge of building systems. Leadership and team management skills. Budget management and cost control. Problem-solving and communication skills. Familiarity


View Job
Property Maintenance Manager / Compliance Officer

Pretoria: Compliance Officer – Wealth

Our client, with more than 20 years of experience within the financial services field and a nationwide footprint, is seeking a compliance officer who will ensure that the company operates within the legal and regulatory frameworks applicable to the financi

View Job  Pretoria: Business Development Engineer posted by People Dimension

View Job
Compliance Officer – Wealth

Bryanston: Compliance Officer – Insurance

Our client, with more than 20 years of experience within the financial services field and a nationwide footprint, is seeking a compliance officer who will ensure that the company operates within the legal and regulatory frameworks applicable to the financi


View Job
Compliance Officer – Insurance

Pretoria: Reporting And Compliance Officer / Internal Auditor

Requirements: Degree in accounting or internal auditing At least 3 years experience in auditing Understanding and working knowledge of project management Good organisational skills and understanding of financial monitoring and administration and accounting


View Job
Reporting And Compliance Officer / Internal Auditor

Cape Town City Centre: Investment Compliance Officer

Key Responsibilities: Monitor and report compliance with regulations like REG28, REG30, LTIA, CISCA, and more. Oversee compliance for Collective Investment Schemes, Pension Funds, Medical Aid Schemes, and Hedge Funds. Conduct Regulation 28 analysis, assist


View Job
Investment Compliance Officer

Johannesburg: Compliance Officer

Compliance Officer Vacancy Do you have expertise in financial compliance? Join our team as a Compliance Officer and help us maintain regulatory integrity. Apply today Compliance Officer position available in Gauteng, Johannesburg. This job position was pos


View Job
Compliance Officer

South Africa: Legal, Risk & Compliance Officer – Senior

Legal, Risk & Compliance Officer Senior POS25029 R 60 000.00 to R 80 000.00 per month Somerset West Position Overview: As the Legal, Risk and Compliance Officer in a software company registered as a TPPP with PASA, a credit bureau and system operator with


View Job
Legal, Risk & Compliance Officer – Senior

Johannesburg: Financial Compliance Officer (Chartered Accountant)

Financial Compliance Officer (Chartered Accountant) Johannesburg Salary: R70-85K Per Month Purpose of Position: Complement Recruitment are recruiting for an experienced Financial Compliance Officer, Chartered Accountant to join our clients finance team bas


View Job
Financial Compliance Officer (Chartered Accountant)

Hillcrest: Trust & Tax Compliance Officer

Our client is a well-established professional services firm with a strong reputation for excellence in auditing, accounting, and tax compliance. This role is ideal for an experienced professional with a strong background in trust administration, tax compli


View Job
Trust & Tax Compliance Officer

Johannesburg: Risk And Compliance Officer

REQUIRED MINIMUM WORK EXPERIENCE AND QUALIFICATIONS Regulatory Compliance : Ensure compliance with relevant legal, statutory and regulatory requirements rela9ng to the business including, but not limited to, the Financial Intelligence Centre Act (FICA), Na


View Job
Risk And Compliance Officer

Cape Town City Centre: Compliance Officer

Key Responsibilities: Implement and monitor compliance programs. Conduct Anti-Money Laundering (AML) due diligence. Assist in regulatory reporting and inspections. Develop and enhance compliance processes. Provide training on regulatory matters. Qualificat

View Job  Pretoria: Asp.Net Developer posted by Goldman Tech

View Job
Compliance Officer

Vaalwater: Hr & Compliance Officer (Jb5108) posted by Kontak Recruitment

"HR & Compliance Officer (JB5108)Vaalwater, LimpopoR9 000 R13 000 basic + Accommodation, Food Parcels, WiFiWork Schedule: 3 weeks on, 1 week offPermanent Our client is a unique hospitality and training organization with a global presence offering a dynami


View Job
Hr & Compliance Officer (Jb5108)

South Africa: Tax Compliance Officer / Tax Practitioner

Tax Compliance Officer / Tax Practitioner Rondebosch Newlands Cape Town Our financial services client in Newlands Cape Town is looking for a Trust & Tax Compliance Officer to join their team. You need to be a registered and experienced Tax Practitioner wit


View Job
Tax Compliance Officer / Tax Practitioner

Cape Town City Centre: Legal And Compliance Manager/Officer

About the Client: Our client is a dynamic and rapidly growing company in the investments industry, committed to providing insightful, data-driven market analysis and innovative investment strategies. They are seeking a sharp, driven, and passionate Legal a


View Job
Legal And Compliance Manager/Officer

Sandton: Risk & Compliance Officer

Our client is searching for a Risk & Compliance Officer to join their team in Sandton. ( Hybrid) Main Purpose of Role Support the overall business strategy by managing the risk and compliance frameworks and programmes. Required Minimum Education / Training


View Job
Risk & Compliance Officer

Claremont: Entry-Level Compliance Officer

Overview: Our client is currently seeking a motivated and adaptable individual with a BCom and/ or LL.B degree to join their dynamic and global organization. This entry-level position offers a fantastic opportunity for a recent graduate to embark on a care


View Job
Entry-Level Compliance Officer

Claremont: Compliance Officer Team Lead

Position : Compliance Officer Team Leader Location: Claremont, Cape Town Type: Full-time, Permanent About the Role We are seeking a Compliance Officer Team Leader with a strong legal compliance background and experience leading teams for at least 2 years.


View Job
Compliance Officer Team Lead

Cape Town City Centre: Global Compliance Monitoring Officer

About the Compliance Monitoring team: The Compliance Monitoring team is a second line of defence assurance function which designs and delivers global and local risk-based compliance monitoring and testing programmes. The primary responsibility of the Compl


View Job
Global Compliance Monitoring Officer

Cape Town: Tax Compliance Officer | Pkf Cape Town posted by PKF Cape Town

PKF Cape Town, one of South Africas largest mid-tier auditing firms, is looking for a Tax Compliance Officer to join their team.Duties and responsibilities will include, but not be limited to:Completion and submission of income tax returns for Companies Tr


View Job
Tax Compliance Officer | Pkf Cape Town

Error making API request.
Share this to someone who needs a job:
Posted in Jobs in Pretoria

More Jobs in Your Area