Compliance Officer

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Compliance Officer

Posted date | 13/02/2017 Closing date | 03/07/2017
Full Time Experienced 30,000-35,000
Regulatory Compliance

Our client operates within corporate and advisory services and are seeking to employ a Compliance Officer.

As a Compliance Officer, you will be reporting to the Compliance Manager and will be responsible for;

Responsibilities

  • Ongoing monitoring and review of compliance reports
  • Monitoring, recording, and dealing with official complaints against the group accordingly
  • KYC checks on new and existing clients
  • The undertaking of Compliance audits in line with those identified through the Compliance Monitoring Programme
  • The regular review of financial promotions, marketing material, client report manuals (CRMs) and investment reports along with other relevant documents.
  • Preparation of regular and ad-hoc reports for senior management.

 

Experience & Education

  • A qualification in Compliance is required. Being in possession of a Certificate of Financial Advisors will be considered an asset.
  • A minimum of 4 years local previous experience in compliance within the financial services sector is required.
  • You must possess excellent communication skills in the English language. 

Skills

  • Excellent organisational skills
  • Excellent time management skills
  • Being a team player
  • Having a meticulous approach to work

MT 2868/17

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