COMPLIANCE ADMINISTRATOR

Full time
Posted 3 months ago

INTRODUCTION

ASI Financial Services has an exciting opportunity for a COMPLIANCE ADMINISTRATOR.  This role provides support to a group of Five Financial Services Providers.

QUALIFICATIONS AND EXPERIENCE

  • At least 1-3 years work experience
  • Grade 12
  • Compliance or Legal qualification or certification
  • Experience with FAIS and FICA
  • Experience with LTIA, STIA, PFA and POPIA advantageous
  • Good excel, powerpoint and word abilities

DUTIES

  • Record keeping and filing;
  • Updating and maintaining CPD, Conflicts of Interest and Competency Registers;
  • Compiling training registers and managing same;
  • Ensure agreements are sent, signed and filed;
  • Onboarding of new representatives;
  • Completion of FSCA Profile changes forms;
  • Management of relationship with Product Suppliers including Broker application forms, broker transfer forms and general due diligence;
  • Assisting with complaint investigation;
  • Compliance data analysis;
  • organise department operations and procedures and co-ordinating with other departments especially Human Resources;
  • facilitate compliance training and manage attendance;
  • assist in reports to FIC and managing all projects relating to reporting to FIC;
  • assist representatives with CMS applications and renewals; and
  • miscellaneous compliance and administration duties.

COMPETENCIES:

  • Planning and Organising
  • Attention to detail
  • Problem solving

Email: recruitment@asi.co.za

Job Features

Job CategoryCompliance, Gauteng Region

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