Overview

Hire Resolve is looking for an experienced Compliance Officer to join our client’s team—a leading financial services provider. We are seeking a compliance professional with specific industry experience in insurance and asset management to ensure regulatory adherence and uphold industry best practices. This role offers the opportunity to work within a dynamic and reputable organization, playing a key part in fostering a strong compliance culture. If you have a solid background in compliance within these sectors, we want to hear from you!

Responsibilities

Ensure that all employees understand compliance policies and relevant laws and regulations. Develop and deliver training programs on compliance-related topics. Act as the point of contact for compliance-related questions, building strong relationships with financial advisors. Provide clear and accessible guidance to employees and financial advisors on compliance matters. Promote a culture of compliance and ethical behavior within the company. Develop and implement a compliance coverage plan based on the approved regulatory framework. Implement necessary actions to ensure achievement of compliance plan objectives. Assist the Compliance Manager in maintaining compliance policies, procedures, and documentation. Ensure that license profile changes are submitted timeously to the Regulator. Conduct monitoring as per the agreed compliance coverage plan. Maintain all compliance registers. Compile a monthly file monitoring schedule and report findings to the Compliance Manager. Liaise with internal departments, coordinate meetings with line managers, and provide monitoring feedback to financial advisors. Conduct branch monitoring. Review internal monitoring processes and results, identifying trends and risks. Escalate high-risk findings to the Compliance Manager immediately. Assist the Compliance Manager with compliance projects as required. Assist the Compliance Manager in compiling internal compliance reports on all compliance activities and risks. Support reporting to the regulator and industry bodies. Store all compliance records securely for easy retrieval on SharePoint. Adhere to correct naming conventions for document storage. Maintain compliance documentation on the company intranet. Assist the Compliance Manager with compliance training and awareness initiatives. Stay informed of regulatory matters by attending webinars and reading industry newsletters. Attend regular compliance meetings. Address general compliance queries from advisors and other departments, escalating when necessary

Requirements

Related degree (LLB, Bachelor’s in Law, Finance, Economics, Business Management, or related fields). RE1 qualification. Registered Phase 1 Compliance Officer with the FSCA. RE3 and/or Certificate in Compliance Management (advantageous). 3–5 years of relevant experience in a compliance function within financial services. Working knowledge of investments, health benefits, non-life (short-term) insurance, and long-term insurance is advantageous. Administration and regulatory compliance.  
Proficiency in Microsoft Office. Bilingual (fluent in English and Afrikaans). Professional service delivery. Products within the financial services industry. FAIS, FICA, POPIA, and related regulations. Skills

Ability to manage multiple projects. Strong analytical skills for applying regulatory requirements. Attention to detail. Highly organized and methodical approach. Process-driven mindset. Dependability and integrity. Strong written and verbal communication skills. Proactive problem-solving approach.

Benefits 

Market-related salary

Contact Hire Resolve for your next career-changing move today

Apply for this role today, contact Gustav Vogel at Hire Resolve or on LinkedIn You can also visit the Hire Resolve website: hireresolve.us or email us your CV: gustav.vogel@hireresolve.us Please use “Compliance Officer” as your subject line when applying via email

We will contact you telephonically in 3 days should you be suitable for this vacancy. If you are not suitable, we will put your CV on file and contact you regarding any future vacancies that arise

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