Compliance Officer

Trive South Africa – Licensed Financial Services Provider (FSP27231)

Type: Full-time

Position Overview:

We are seeking a detail-oriented and knowledgeable Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring that the company adheres to all regulatory requirements and internal policies, promoting a culture of compliance and ethical conduct throughout the organization.

Key Responsibilities:

• Develop, implement, and maintain compliance policies and procedures in accordance with regulatory requirements.
• Monitor and assess legislation to identify compliance risks and ensure adherence to compliance standards.
• Develop compliance risk management plans and monitoring plans to mitigate potential risks.
• Conduct regular compliance audits and reviews to evaluate effectiveness and compliance with policies.
• Provide training and guidance to staff on compliance-related issues and best practices.
• Draft and monitor compliance policies to ensure they are up-to-date and effective.
• Stay updated on changes in legislation and regulations that may impact the organization.
• Prepare and submit compliance reports to senior management and regulatory authorities as required.
• Act as a point of contact for regulatory bodies and manage communications related to compliance matters.
• Collaborate with internal departments to address compliance issues and implement corrective actions.

Required:

• Bachelor’s degree in Law or Risk Management
• Proven experience in a compliance role within the financial services industry, preferably with experience in FSP and ODP regulations.
• Strong understanding of the Financial Markets Act, as well as experience with derivatives and FAIS (Financial Advisory and Intermediary Services).
• RE1 & RE5
• Excellent analytical and problem-solving skills, with attention to detail.
• Strong communication and interpersonal skills, with the ability to work collaboratively across teams.
• Ability to maintain confidentiality and handle sensitive information with integrity.