Compliance Officer FICA & FAIS

Our client is currently recruiting for aFICA & FAIS Compliance Officer will support the implementation and maintenance of the Companys regulatory compliance processes ensuring adherence to applicable legislative requirements internal policies and industry standards within a regulated financial services environment.

The role will focus on client due diligence AML/KYC documentation FICA and FAIS compliance requirements regulatory reviews and the maintenance of accurate compliance records. The successful candidate will work closely with financial advisers brokers banks internal compliance teams and other stakeholders to ensure that client documentation is complete up to date and compliant.

This position requires a proactive detail-oriented professional who can balance compliance responsibilities with hands-on administrative duties exercise sound judgement and operate effectively in an environment subject to ongoing regulatory changes and audit scrutiny.

Key Responsibilities

• Ensure compliance with FICA FAIS and applicable AML/KYC regulatory requirements
• Collect and review client documentation to ensure regulatory compliance.
• Conduct client due diligence and verify supporting documentation.
• Identify and resolve documentation discrepancies omissions and compliance gaps.
• Request outstanding expired or updated client information.
• Respond to compliance requests from internal departments financial advisers brokers banks and institutions.
• Capture and update client information on AML/KYC systems.
• Prepare and maintain FICA/FAIS documentation packs for new clients and financial advisers.
• Maintain accurate complete and up-to-date compliance records and filing systems.
• Assist with periodic FIC reviews and related regulatory information requests.
• Support ongoing compliance monitoring and internal review processes.
• Assist with audit preparation and regulatory information requests.
• Identify potential compliance risks and escalate concerns to the relevant stakeholders.
• Support the implementation and maintenance of compliance policies procedures and internal controls.
• Maintain awareness of regulatory changes and applicable compliance standards.
• Ensure compliance documentation is processed accurately and within required deadlines.
• Maintain confidentiality and handle sensitive client information responsibly.
• Provide administrative and operational support to the Compliance Department.
• Identify opportunities to improve compliance processes systems and recordkeeping.
• Collaborate with internal and external stakeholders to ensure effective compliance operations.

Personal Attributes:

• Previous AML/KYC experience within a regulated Financial Services Provider is essential.
• Proven administrative experience with strong documentation and recordkeeping skills.
• Practical knowledge of FICA FAIS and client due diligence requirements.
• Experience working in a regulated environment subject to compliance reviews and audit scrutiny.
• Strong organisational time management and prioritisation skills.
• Excellent attention to detail and accuracy.
• Good written and verbal communication skills.
• Strong process management problem-solving and analytical abilities.
• Proficiency in computer systems and databases with the ability to learn new technologies.
• Ability to work independently manage competing priorities and adapt to changing regulatory requirements.