Job Description

Investment client seeks a Junior Compliance Officer to join their team. You’ll need to have competed both your RE1 and RE3 with current relevant financial services industry compliance experience as listed below. Role reports to their Compliance Manager and works within a dynamic and passionate team.

Responsibilities

Responsible for assisting with driving of policies and procedures for a new business area AML, risk management framework, compliance management frameworks Research of legislative updates Implementation of compliance plans Compliance monitoring regulatory reporting Internal reviews and audits as required

Requirements

Minimum of a completed degree in Finance/ Law/ Accounting/ Business Studies or similar Must have completed your RE1 and RE3 exams Knowledge and experience with the following industry regulations: FAIS, FSRA, FICA, POCA, POCDATARA, CISCA, CoFI, POPIA and EU GDPR Good knowledge and interest in financial markets and instruments High levels of integrity and honesty Analytical, self-starting and proactive Ability to look further than a problem and think outside the box Excellent communication and relationship building skills Ability to be flexible and quick to learn new concepts

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