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Compliance Officer

Vacancy Details

Reference No.



Provide compliance duties for a leading financial services provider seeking a Compliance Officer. The successful incumbent will monitor and provide oversight on the adherence to compliance practices in client facing clusters to ensure compliance risks are managed and reported across the company. A CISA certification will be highly advantageous for this role.


  • Contribute to a culture of transformation goals by participating in the company’s culture building initiatives, including CSI
  • Influence the improvement or enhancement of business processes and methodologies
  • Ensure compliance risks are managed by developing an annual risk-based compliance monitoring programme across client facing clusters
  • Provide advice to stakeholders on compliance. Provide input, review and ensure accurate reporting and articulation of compliance
  • Provide guidance in the completion of subsidiary compliance risk monitoring programmes
  • Provide advice and / or input to internal stakeholders on possible contraventions of compliance risks through early detection
  • Maintain relationships with internal stakeholders by establishing partnerships in managing compliance risks
  • Engage with stakeholders formally through determining scope of work, understanding and identifying client needs
  • Maintain relationships with stakeholders by keeping them informed of any compliance risk related matters that may compromise their business
  • Develop collaborative relationship with the Compliance Institute of South Africa (CISA)
  • Execute the annual compliance risk-based programme
  • Monitor compliance risks and determine the state of compliance in client facing clusters
  • Ensure compliance requirements are adhered to and adequate compliance risk management practices implemented
  • Monitor compliance risks and ensure corrective action. Provide assurance to stakeholders on the state of compliance
  • Present findings of compliance reviews to stakeholders
  • Comment on mitigating actions to be implemented by stakeholders
  • Improve personal capability and stay abreast of developments in field of expertise
  • Ensure personal growth and application of new competence in function
  • Ensure relevant up skilling takes place and effective handover to relevant responsible person for auctioning
  • Obtain buy-in for developing new and / or enhanced that will add value to stakeholders' Businesses


  • Advanced Diplomas / National 1st Degrees
  • Post Graduate Diploma: Risk Management, Advanced Diplomas / National 1st Degrees
  • Compliance Institute of South Africa (CISA) - preferred, not essential
  • Developing ways to assist the management and / or mitigation of risks check
  • 3 - 5 years as a Compliance Officer; approved FSB Compliance Officer
  • Knowledge of the Insurance Industry will be advantageous

Kindly note, if you have not heard from us within two weeks of your application please consider it unsuccessful

Position Type


Work Level



Market Related


Banking/Finance And Investment

Salary Type



Cost To Company

Affirmative Action


Geographic Location

Gauteng - JHB North