Compliance Associate (FAIS and FICA) at Wealth Management Firm in Claremont
Gail Cox Consulting · Claremont, Western Cape
Overview
A well established wealth management company in Claremont is looking for a Compliance Associate with FAIS and FICA experience. You will support the internal compliance team, help keep documentation and registers accurate, assist with remediation projects, and handle Commpay administration for Wealth Managers. If you are analytical, thorough, and enjoy process driven work in a financial services environment, this permanent full time role could be a great fit.
About the role
This role supports the internal compliance team at a wealth management firm in Claremont. You will report to the Head of Compliance and work closely with all departments to make sure compliance activities are carried out accurately and efficiently.
What you will do:
- Help draft, review, and update compliance policies, procedures, risk assessments, and templates
- Compile and analyse data for audit reports and summarise findings for management and external reviewers
- Maintain compliance records, registers, and documentation so they are ready for audits and internal reviews
- Track compliance activities, breaches, risk events, and remediation efforts, and keep registers up to date
- Support compliance projects from planning to completion, coordinate with departments on gaps, and prepare status reports
- Log commission estimates and actuals on Commpay and Xplan for Wealth Managers
- Work with the fees department on Commpay lodgements, escalate issues, and check and submit monthly lodgements
Application note: No specific application instructions or documents were provided in the listing. Apply through the PNet listing and attach your CV along with any relevant qualifications.
Requirements
- At least 3 years of experience in an administrative role with a specific focus on FAIS and FICA compliance
- Relevant degree or tertiary qualification in risk, legal, or compliance from a reputable institution
- RE5 certification is advantageous
- Proficiency in Microsoft Suite: MS Excel, MS Word, Outlook, and PowerPoint
- SharePoint experience is advantageous
- Analytical, thorough, and detail orientated with a systematic and process driven approach
- Strong customer focus and ability to work with multiple departments
Responsibilities
- Assist in preparing compliance related documents, including policies, procedures, risk assessments, and templates
- Collaborate with stakeholders to align documents with regulatory requirements and organisational objectives
- Compile and analyse data for audit reports and summarise findings for management and external reviewers
- Maintain accurate and up to date compliance records, registers, and documentation for audits and internal reviews
- Implement record keeping practices to track compliance activities, breaches, risk events, and remediation efforts
- Participate in planning, execution, and monitoring of compliance remediation projects
- Coordinate with departments to address compliance gaps and ensure remediation actions are implemented
- Track project progress, prepare status reports, and escalate issues that may affect timelines or outcomes
- Log commission estimates and actuals on Commpay and Xplan for Wealth Managers
- Work with the fees department on Commpay lodgements and escalate matters where necessary
- Check and review lodgements and submit to the fees department monthly
Job details
- Organisation
- Gail Cox Consulting
- Location
- Claremont, Western Cape
- Job type
- Full time
- Experience level
- Mid (3+ years)
- Education
- Bachelor
- Category
- Banking & Insurance
- Application Method
- Apply online
Success Guide
Before you apply, make sure your CV clearly shows your FAIS and FICA compliance experience, including the specific years and the environments you worked in. This role is with a wealth management firm, so highlight any exposure to financial products, commission structures, or platforms like Commpay and Xplan if you have it. Use your application to show that you are organised and process driven, maybe by giving examples of compliance registers or audit reports you helped maintain. In an interview, expect questions about how you keep documentation accurate under pressure and how you work with different departments to close compliance gaps. If you have RE5, mention it early as it is an advantage. Good luck.
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