Apply for Job

Specialist: Compliance (Investments)

Vacancy Details

Reference No.



Our client, a leading financial services provider, is seeking an experienced Specialist Compliance (Retails Sales and Distribution) responsible for identifying, accessing and managing compliance risk. The incumbent will also be responsible for regulatory compliance monitoring and related activities for applicable retail companies.


  • Have a detailed understanding of the legislative framework which directly impacts the financial services industry.
  • Have detailed knowledge of best practise compliance methodologies.
  • Maintain relationships with stakeholders and the relevant regulators.
  • Excellent organisational and monitoring skills with a strong focus on managing deadlines.
  • Design and implement standards, policies and procedures for compliance risk management that are in line with global best practice.
  • Support, guide and educate the business compliance related matters.
  • Implement and maintain the Cherwell Compliance and Surveys tool for compliance risk. management in the fulfilment of its monitoring obligations, record keeping and subsequent reporting to various stakeholders.
  • Assist the business in resolving (remedial action) compliance breaches to legislative requirements reported at various levels.
  • Ensure all the statutory reporting requirements are met on a timely basis as required in terms of the applicable legislation and/or approvals obtained.
  • Identify all amendments to legislation, draft legislation and new legislative that impact or could impact the compliance universe: Review and update the monitoring plan to include new high-risk exposure areas to enable compliance to provide assurance on the implementation of new policies and procedures regarding the new/amended legislation clarification/interpretation of new/amended legislation if required.


• LLB / or other relevant postgraduate qualification in compliance and risk management.
• FAIS approval for Category I, II and III.
• 3-5 years related experience, two of which must be at a similar level of operation.
• Understanding of the financial services and insurance industry essential.
• Business understanding.
• Knowledge and understanding of FSCA and Prudential Authority Legislative Requirements.
• Experience in conducting compliance audits.
• Experience working in the three lines of defence model.
• Compliance experience in an investment environment will be beneficial.
• Experience in Retail Insurance Sales would be beneficial.

Position Type


Work Level



Market Related


Banking/Finance And Investment

Salary Type



Cost To Company

Affirmative Action


Geographic Location

Gauteng - JHB North