Compliance Officer | Waterfall, Johannesburg | Permanent

Designation: Compliance Officer | Waterfall, Johannesburg | Permanent

Category: Legal and Compliance

Job Level: Skilled technical and academically qualified workers, junior management, supervisors, foremen and superintendents

Posted by: PSG Financial Services

Posted on: 15 Sep 2026

Reference Number: POS01847

Closing date: 15-Oct-2026

Position Type: Permanent

Location: Waterfall Magwa Crescent

Overview:

**VACANCY |**COMPLIANCE OFFICER | WATERFALL, JOHANNESBURG | PERMANENT

PSGs commitment to transform and embrace diversity is what drives us to achieve a diverse workplace with employment equity as a key goal to create an inclusive workforce. In achieving our employment equity goals, we give preference to applicants from designated groups, and we encourage people with disability to apply.

Job Description:

We require a Compliance officer within the PSG Wealth division. This individual will be responsible for facilitating all compliance aspects within the Cat I (JSE member) and Cat II (Investment Management) compliance functions.

FSCA APPROVED CATEGORY I AND II COMPLIANCE OFFICER

Responsibilities:

• Assessing new and existing legislation including the related compliance and operational impact on the business and business processes
• Assisting with projects to implement changes to systems or processes based on new legislative requirements
• Perform market conduct and prudential monitoring to assess operational adherence to regulatory frameworks, internal processes, and JSE rules and directives.
• Providing advice to the business to ensure that all aspects of compliance are adhered to within day-to-day operational processes and business initiatives
• Assessing management needs and delivering solutions in line with the compliance framework
• Compiling and submitting compliance reports
• Managing and responding to daily and ad-hoc compliance or regulatory requests
• Developing and presenting compliance training on an on-going basis
• Keeping abreast of new legislation and other industry requirements by continuously monitoring the FSCA, NCR and JSE website for key regulatory developments
• Relationship management by liaising with FSCA, JSE, NCR, Ombuds, and 3rd Parties
• Drafting and reviewing of policies
• Maintain an internal representative register for all additions and removals of representatives/officers and further communicate all removals and/or additions to the FSCA and JSE for the central representatives register to be maintained accordingly
• Submit all applications and profile changes in terms of the FAIS Act to the FSCA, NCR and the JSE
• Ensure that all Key Individuals and Representatives fully comply with the Determination of Fit and Proper Requirements in terms of the FAIS Act and maintain a competence register in this regard
• Draft formal and comprehensive Ombud responses and address all issues raised by the client including any legal issues
• Ensure that the business adheres to the Treating Customers Fairly Principles
• Maintain a compliance culture that contributes to the overall objectives of prudent risk management and to report on non-compliance to Exco and audit & risk committee

Minimum requirements:

• Minimum 4 years’ experience in the Financial Services industry with the following qualifications:
• Completed BCom, LLB or equivalent law degree
• Approved FSCA Compliance Officer in Categories I and II (RE 1 and 3)
• Admission as an Attorney of the High Court will be an advantage
• JSE Equity Compliance Officer and JSE Bond Compliance Officer
• Industry exams: JSE Compliance Officer Exam
• JSE Derivatives Compliance Officer
• RPE: Introduction to Financial Markets
• RPE: Regulation of Ethics of the SA Financial Markets
• RPE: Derivative Markets
• RPE: Bond Market
• Sound knowledge of all financial services related legislation including but not limited to the FAIS/CoFI Bill (including the General and Discretionary FAIS conduct codes), JSE Rules and Directives, FICA, TCF, POPIA and FATCA/CRS.

Competencies required:

• Excellent verbal and written communication skills
• Strong report writing skills
• Ability to build strong relationships with a number of stakeholders
• Ability to operate independently as well as operate within a team

How to apply:

Candidates interested must apply on the PSG Careers website https://www.psg.co.za OR browse vacancies https://bit.ly/3bD2iAk by no later than 15 October 2026. By submitting your application, you are giving PSG Financial Services implicit consent to the storage and processing of your personal information. If you are not contacted within 2 weeks of your application, please accept that your application was unsuccessful.