Junior Legal & Compliance Officer

INTRODUCTION:

ASI Financial Services, a leading Level 1 BBBEE Intermediary in the Financial Services Industry, has a position available for a GROUP JUNIOR LEGAL AND COMPLIANCE OFFICER. The Group Junior Legal and Compliance Officer will form part of the Risk, Legal and Compliance department and the greater Business Enablement Department and will report to the Executive: Risk, Compliance and Legal. The Group Junior Legal and Compliance Officerewill provide legal and compliance support services to the ASI Group of companies.

ROLES AND DUTIES:

• Record keeping and filing;
• Updating and maintaining Complaints, CPD, Conflicts of Interest and Competency Registers;
• Profile changes with the FSCA;
• Setting up training, Compiling training registers and managing same;
• Onboarding of new representatives;
• Completion of FSCA Profile changes;
• Updating and managing details with FSCA, FIC, CMS and IR;
• Assist in reports to FIC and managing all projects relating to reporting to FIC;
• Compliance transactional monitoring of client files in terms of FAIS and FICA requirements;
• Management of relationship with Product Suppliers including completing application forms, updating details with Supplier, ensuring agreements are vetted, signed and returned and general Supplier due diligence;
• Conducting MIE Checks for employees; organise department operations and procedures and co-ordinating with other departments especially Human Resources to ensure compliance;
• Assist representatives with Fit and Proper training specifically the registration and applications with training institutions as well as oversight of timeous completion;
• Vetting of contracts received from third parties and peer review of internal contracts and policies;
• Drafting of agreements such as SLA’s, NDA’s and Sale and Pruchase Agreements;
• Updating of policies and procedures;
• Participating in the IT Committee;
• Miscellaneous compliance and legal administration duties.

QUALIFICATIONS, COMPETENCE & EXPERIENCE REQUIRED:

• B-degree in Law or LLB essential;
• Admitted attorney essential;
• At least 1 year experience in a compliance environment in the financial services industry for a category I financial services provider - non-negotiable;
• Understanding of FAIS and FICA specifically around Fit and Proper requirements, profile changes and KYC requirements– non-negotiable;
• Experience with the FSCA, FIC and CMS online processes – specifically around profile changes, renewals and applications – non-negotiable;
• Understanding of LTIA, STIA, PPR rules, PFA and POPIA- advantageous;
• Excellent Excel, PowerPoint and Word abilities;
• PowerBI experience advantageous;
• Planning and Organising;
• Attention to detail;
• Adherence to deadlines; and
• Ability to work under pressure.

BENEFITS:

• Market related salary, dependent on experience and skills
• Provident Fund benefit
• Gap Cover benefit
• Work from home one day a week
• Potential to be upskilled into a Legal and Compliance Officer role
• The company has a variety of exciting social gatherings throughout the year

Job Types: Full-time, Permanent

Application Question(s):

• What is your salary expectation for this role?
• Are you an admitted attorney?

Experience:

• compliance: 1 year (Required)

License/Certification:

• B-degree in Law / LLB (Required)

Work Location: In person