Our client is seeking a Category II Compliance Officer to join their team. This position reports to the Head of Compliance – Distribution and involves ensuring adherence to relevant legislative regulations and maintaining quality assurance in the client’s offices, which cover long-term and short-term assurance, collective investments, and stockbroking. Key Responsibilities: Develop and maintain a comprehensive compliance framework with relevant stakeholders. Identify and investigate potential compliance breaches and areas of concern. Review, register, and resolve client complaints. Maintain the key individual/representative register. Ensure that all compliance records are accurate and up-to-date. Address and resolve Fit and Proper queries. Update and maintain compliance procedures and manuals. Conduct compliance audits at Adviser offices and report findings. Qualifications and Experience: Relevant qualification such as BCom Law or equivalent. Registered FSCA Compliance Officer (CAT II). RE 1 and RE 3 certifications. 3 – 5 years of compliance experience in the financial services industry. In-depth knowledge of FICA, FAIS, and relevant legislation, regulations, and rules. Experience in corporate compliance and working with Financial Advisers/Planners. Proficiency in MS Office. Skills and Competencies: Strong interpersonal, communication, and report writing skills. Ability to work independently and as part of a team. Capable of operating in a high-performance environment at various levels. Excellent client relationship-building skills. #J-18808-Ljbffr