Hire Resolve is seeking a skilled and experienced Compliance Officer to join our client, a leading global financial services company. This is an exciting opportunity for a compliance professional to play a critical role in ensuring regulatory adherence and fostering a strong culture of compliance within a dynamic and fast-paced organization. The successful candidate will collaborate with stakeholders to implement compliance strategies, manage risk, and uphold the highest standards of integrity across the business.

Responsibilities 

• Maintain critical compliance registers, such as those for representatives and breaches.

• Offer guidance on the interpretation and application of laws and regulations.
• Assist in integrating systems like CURA into compliance operations.
• Conduct compliance reviews in alignment with the Compliance Monitoring Plan using structured sampling methods.
• Create and maintain Compliance Risk Management Plans (CRMPs) tailored to legislative requirements and organizational standards.
• Familiarity with additional legislation, including the Financial Markets Act and JSE Membership Rules, is a plus.
• Support the execution of the Compliance Programme, including adherence to the Compliance Framework, Compliance Plan, and Monitoring Plan.
• Develop and sustain a strong culture of compliance throughout the organization.
• Provide specialized knowledge in key legislation affecting asset management, such as the Financial Advisory and Intermediary Services Act (FAIS) and related Codes of Conduct for Cat 2 and Cat 2A FSPs, Financial Intelligence Centre Act (FICA), and Protection of Personal Information Act (POPIA).
• Compile comprehensive compliance reports, including those for Board and regulatory submissions.
• Lead investigations into compliance breaches and prepare detailed reports for resolution and remediation.
• Design and deliver compliance training sessions through appropriate channels, such as in-person workshops or online platforms.

• Draft and update Compliance Policies and Standard Operating Procedures (SOPs).

Requirements

• Work effectively with team members and build strong partnerships across the business.

• Manage and resolve issues in a constructive and effective manner.
• Ensure controls and processes meet all regulatory standards.
• FSCA registration or supervision as a FAIS Cat 2 and/or Cat 2A Compliance Officer is advantageous.
• Identify opportunities for enhancing compliance processes.
• Skilled in Microsoft Excel, Word, and PowerPoint.
• Experience in executing compliance strategies and monitoring activities under guidance.
• Deliver clear and concise compliance-related information to stakeholders.
• A minimum of 5–7 years of relevant experience, ideally within the asset management industry.
• Knowledge of tools like CURA, SharePoint, and CRM systems is beneficial.
• Ability to interpret, apply, and integrate regulatory requirements into organizational processes.
• A bachelor’s degree in law, risk management, commerce, or auditing. Professional qualifications in compliance (e.g., CPrac, CProf) are highly regarded.

• Work efficiently under pressure while balancing multiple deadlines.

Benefits 

• Salary: Negotiable

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.