FAIS Compliance Officer

To assist the Head of Governance and External Compliance Officer with mandate compliance and regulatory compliance.

Areas Of Responsibility

• Expert knowledge of FAIS and all the regulations
• Good understanding of FICA
• Assist in maintaining RMP & RMCP
• Onboarding new investment partners
• Assist in implementing and maintaining FAIS Policies and Registers
• Ensure mandate compliance and mandate monitoring
• Analysis and implementation of FAIS regulatory changes
• Assist in the implementation of new legislative requirements
• Meet with external Compliance Officer on a monthly basis
• Review of Investment Partner FAIS documents
• Assist with Representative and KI applications and changes
• Assist with FSP applications and changes
• Arrange for signing of mandates
• Complete risk rating and screening of all clients signing our mandates
• Maintain Fit & Proper Manager
• Issue of CPD certificates for IC meetings and other accredited meetings
• Liaise with FPI for accreditation of material
• Run supervision register and set up supervision sessions
• FAIS Disclosure documentation review

Technical support
• Legal & Technical query management
• Second pair of eyes on all agreements
• Second pair of eyes on all policies

• Must be able to prepare and deliver presentations on topics such as changes in regulations or new developments which impact on our business
• Attend Investment Committee meetings periodically
• Assistant MLRO
• Ad hoc projects

Qualifications and Experience: Min 2 years’ experience in a FAIS compliance role or similar role for Cat II FSPs and Cat I FSPs.
Legal or accounting qualifications advantageous or equivalent industry qualification.

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