CAT 3 Compliance Officer: Investments - Tracking Talent, Cape Town

  • Cape Town
  • Salary: Market Related
  • Job Type: Permanent
  • Sectors: Investment
  • Posted by Tracking Talent on Tuesday, January 7, 2020
  • Reference: 34349
  • Apply before Saturday, March 7, 2020 - 17 Days left

Vacancy Details

Employer: Tracking Talent
A leading Asset Manager is looking for a Compliance Officer to join their team. The ideal candidate is a go-getter with a pragmatic approach to systems and processes, solid knowledge of various key Acts, and exposure to Cat 1 and Cat 3 business. The co...

A leading Asset Manager is looking for a Compliance Officer to join their team. The ideal candidate is a go-getter with a pragmatic approach to systems and processes, solid knowledge of various key Acts, and exposure to Cat 1 and Cat 3 business.
The compliance Officer will provide support as a senior resource within the governance team, particularly ERT compliance matters.

Experience & Qualifications:

* BComm Honours/BusSci degree in Portfolio Management or Law degree/compliance related qualification.
* Cat 1 & possibly Cat 3 FAIS registered CO.
* Member of CISA-C (Prac) designation is a bonus.
* 3-5 years, experience in a compliance role in a financial services environment.
* Exposure to Cat 1 & Cat 3 businesses.

Relevant Systems Knowledge:

* Proficient in MS Office.

Duties and Responsibilities:

* Review business processes/changes thereto WRT control environment.
* Provide legal support to business development and operations areas.
* Assist with drafting and updating compliance documentation.
* Responsibility for Cat 1 and Cat 3 FAIS licenses and supervisor of another CO.
* Supervise and assist with compliance monitoring and recommendations for any enhancements.
* Liaise with employees and management regularly on compliance issues.
* Key Acts: FAIS (essential), LTIA, FICA, POCDATARA, FATCA, POPI etc.

Apply before Saturday, March 7, 2020 - 17 Days left Companies may expire jobs at their own discretion. If you have not received a response within two weeks, your application was most likely unsuccessful.
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About Tracking Talent

Tracking Talent is all about finding, attracting, engaging and retaining of talent in the market place for our clients across multiple sectors.

Successful business leaders know that people are imperative to any organisation's success. They know that the right people, not just with the right skills, but aligned with their organisation's culture, can make the difference between good performance and great performance. Companies around the world compete furiously on a daily basis to attract, engage and retain high performing talent.

Tracking Talent work as partners to our clients to build suitable solutions for their talent acquisition, and retention, needs, and demands. We are a proudly 100% female owned business (51% Black female owned) with a BEE Level 2 certificate.

Our Values
Tracking Talent aim to help people and companies to fulfil their potential. We express passion and believe we have a unique approach to talent acquisition and retention. We operate with integrity, we find solutions and we work as a partner to our clients.

Integrity: At Tracking Talent we are proud to operate with honesty and integrity. We speak openly and honestly and we will walk away if we feel our integrity is compromised.

Solutions driven: We strive to find you a solution to your talent acquisition challenges, and do not sell a one size fits all solution.

Business Partners: Tracking Talent want to be an extension of your brand in the market place. We work with brands we believe in and can align ourselves with. As business partners we want to learn all about your business to enable you to continue operating at full potential.