Registered FAIS Compliance Officer needed at Horizon Compliance

Main Requirements:

• You need to have at least 2-3 years experience as a Registered Compliance Officer with the FSCA in the context of the FAIS Act and no longer be under supervision
• You must have monitoring experience with FAIS and FICA
• Doing repetitive admin work must give you immense amounts of joy
• This is a work-from-home position but we prefer candidates to be in Gauteng or even better, Pretoria
• You need to learn fast and take responsibility
• You are not allowed to conduct other work for other companies while in our employ

Additional Requirements:

• Tech-savvy
• Marketing and sales experience
• A disciplined approach to your daily work
• Good numeracy skills
• Fluency in English and Afrikaans – writing and speaking
• Experience in liaison with regulators
• Experience in sending quotes and acting on leads
• Experience in FAIS license applications and document collation
• Good people and problem-solving skills
• A high level of ethics
• Be able to take initiative on many projects
• Legal drafting and research capability

Day-to-day Responsibilities:

• Advise clients on the application of FAIS and related legislation (FICA/POPI/NCR/etc.)
• Advise and facilitate license applications
• Communicate with regulators on behalf of clients (may include FSCA/FIC/NCR/SARB)
• Conduct fit and proper assessments on businesses and their employees
• Conduct monthly file monitoring and yearly practice monitoring
• Conduct occasional training sessions on legislative requirements
• Facilitate compliance meetings with clients on updates/challenges
• Attend occasional conferences
• Drafting of policies, procedures, and contracts
• Assist with the implementation of policies and procedures
• Submit regulatory documents (compliance reports/financial statements etc.) within prescribed timeframes
• Ad hoc projects
• Assist clients with onsite inspections from regulators
• Discuss contract options with potential clients

Additional “Nice to have’s”:

• Interest in blockchain and crypto technology
• Experience in CIS, CAT llA, & CAT lll