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Cape Town: Compliance Administrator posted by CA Financial Appointments






Date 2024-07-07
Job Title Compliance Administrator
Employer CA Financial Appointments
More Information
Salary 0
Category Professions
Location Western Cape
/ Cape Town

Job Summary

My client, a leader in the Wealth industry is seeking a Compliance Administrator to mitigate risk for the company by ensuring that advisors are providing suitable advice to clients, according to client needs and risk appetite; ensuring that all advisors are Fit and Proper, and relevant documentation is completed in order for the advisors to perform their roles.

Responsibilities:

Compliance review of all N ew B usiness and Servicing cases submitted for the Group Submission of Fund Selection and Withdrawal cases to various providers Maintaining and Administering the Representative Register Maintaining and Administering the Competency Register ( e.g. CPD and Supervision tracking ) Fit and Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a ” Starter Pack ” ( e.g Rep Disclosures drawn up, R MC P Emails to be sent, Submission of Masthead Applications, Drawing up of Supervision Forms ) Ensuring all Quarterly declarations ha ve been sent and received Assisting n ew Para – planner s with pre – checking and training on Client Advice Records Assisting terms of business with various Product Providers Assisting re-a llocation of clients when a Private Wealth Manager resigns Assisting Compliance Manager with complaint investigation and resolution Data analysis for the purpose of resolution to investigations

Requirements:

5 years Onshore experience in the wealth management industry, with Offshore experience (advantageous) Matric RE5 Compliance related course/qualification Computer literacy (MS Word, Excel, Outlook – intermediate) Excellent communication skills (verbal and written) Analytical Proven ability to meet and understand compliance req
Compliance Administrator position available in Western Cape, Cape Town. This job position was posted by CA Financial Appointments. The job has been posted as a premium ad on 2024-07-07 at 13:53:28 in the Professions category

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