Introduction

• Our client is seeking a meticulous and detail-oriented Compliance Consultant to ensure regulatory adherence and operational excellence within their organization. This role involves managing and maintaining compliance processes, documentation, and regulatory obligations, specifically focusing on AML, FAIS, and other financial regulatory requirements. The successful candidate will be responsible for creating concise, complete, and accurate process documents for all compliance-related actions and tasks.

Key qualifications and experience for the Compliance Consultant

• Bachelor’s degree in Law, Finance, Compliance, or a related field
• Relevant certifications in compliance, AML, FAIS, or related regulatory frameworks
• Strong knowledge of FICA, FAIS, AML, POPIA, and TCF regulations

Key duties for the Compliance Consultant

• Ensure full compliance with AML (Anti-Money Laundering) and FAIS (Financial Advisory and Intermediary Services) regulations
• Manage and maintain Moonstone Fit and Proper System
• Regulatory Compliance Management
• Create concise, complete, and accurate process documents for all compliance-related actions and tasks
• Policy Maintenance & Implementation
• Supervision Process Coordination
• FICA/AML Compliance Support
• FAIS Compliance for the Consulting Team
• Register & Regulatory Maintenance
• POPI (Protection of Personal Information Act) Compliance
• Treating Customers Fairly (TCF) Compliance
• Continuous Professional Development (CPD Training)
• Regulatory & Technical Support

Key personal skills

• Exceptional attention to detail and organizational skills
• Strong analytical abilities
• Excellent written and verbal communication skills
• Ability to work independently while collaborating effectively with teams
• Proficiency in compliance-related software and reporting tools