Compliance Manager – Financial Services

About the role

The Compliance Manager will lead the regulatory compliance team, working closely with the Head of Compliance to ensure the organisation meets all legislative and regulatory obligations. The role involves identifying, assessing, managing, monitoring and reporting compliance risks across the business.

Key responsibilities

• Manage a team of Compliance Officers and Administrators, providing guidance and performance oversight.
• Oversee licensing requirements and regulatory obligations, including reporting and new product applications, for the licensed entity and approved individuals.
• Serve as the appointed FAIS Compliance Officer for a CAT I FSP and, where applicable, as FIC MLRO, Compliance Officer, or S13B Compliance Officer.
• Drive the development, implementation and monitoring of Compliance Risk Management and Compliance Monitoring plans.
• Identify compliance focus areas, assist the business in building effective CRMPs and document them in the risk management system.
• Assist the Head of Compliance in preparing reports for regulators, executive committees and boards.
• Maintain written procedures to ensure adherence to legislation, regulations and group policies, demonstrating robust risk management to regulators.
• Promote a positive compliance culture, risk awareness and support staff training on new regulations.

Required profile

• Minimum 5 years of compliance experience in a financial services environment.
• FAIS‑registered Compliance Officer for a Category I FSP.
• Strong working knowledge of South African financial services regulatory framework.
• Relevant tertiary qualification, preferably in Law, Compliance or Risk Management.