Compliance officer

To perform supervision activities on representatives that are required to be supervised in terms of regulations and ensure the necessary knowledge and skills are transferred for representatives to become fit and proper.

Duties and Responsibilities: Risk, Regulatory, Prudential & Compliance Coach and guide accordingly and ensures that the staff member follows up with the customer in cases where incorrect financial. Identify skills gaps and recommends corrective measures to mitigate risk. Provide input into internal and external FAIS auditors to provide evidence that the FAIS supervision requirements are adhered to. Ensure the fair treatment of clients and take corrective action where client experience disciplines are not adhered to. Monitor that staff members are appropriately exposed to render financial services to customers in line with contracting requirements. Where staff members demonstrate insufficient exposure to required financial services, take corrective action to ...