Hire Resolve is seeking a dedicated Compliance Officer on behalf of our client, a reputable financial services company specializing in wealth management and short-term insurance. This role is integral to ensuring regulatory compliance across both divisions, supporting a robust compliance culture, and managing compliance risks. The ideal candidate will have experience in financial services, particularly within the wealth and short-term insurance sectors, and will bring strong expertise in South African regulatory requirements. This is an excellent opportunity for a compliance professional to make a meaningful impact in a dynamic and growing organization.
Responsibilities
Ensure compliance with FAIS, FICA, and the Short-Term Insurance Act.
Monitor regulatory changes affecting wealth management and short-term insurance, advising on necessary adjustments.
Assist in developing and implementing compliance policies and procedures for both divisions.
Conduct compliance audits and monitoring activities to identify and address potential issues.
Implement a structured monitoring plan and provide regular reports to the Head of Compliance.
Perform risk assessments for wealth management and short-term insurance, implementing mitigation strategies.
Provide compliance guidance to management and staff, ensuring understanding of regulatory obligations.
Act as a compliance advisor on best practices for wealth management and short-term insurance.
Develop and conduct compliance training sessions to promote awareness across both divisions.
Keep staff informed about regulatory updates and compliance expectations.
Serve as the primary regulatory liaison for both divisions, handling audits and inquiries.
Requirements
Bachelors degree in Finance, Law, Risk Management, or a related field.
Professional Compliance Certification (e.g., CPrac or equivalent) is advantageous.
Minimum 3-5 years of compliance experience in the financial services industry, specifically in wealth management and/or short-term insurance.
Extensive knowledge of South African regulations, especially FAIS, FICA, and the Short-Term Insurance Act
Strong understanding of regulatory compliance in wealth management and short-term insurance.
Excellent analytical and problem-solving skills with a focus on risk mitigation.
High attention to detail and strong organizational skills.
Effective communication skills for interacting with stakeholders and regulatory authorities.
High ethical standards and an ability to promote a culture of compliance.
Benefits
Salary:
Negotiable
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