Compliance officer
Location
cape town, western cape
Job Type
Full-time
Category
Other-General
Posted
June 23, 2026
A leading Wealth Management business is seeking a highly experienced
Compliance Officer
to join their governance structure. This role plays a critical function in ensuring regulatory adherence, mitigating risk, and embedding a strong culture of compliance across the business.
The successful candidate will work closely with Wealth Managers, Administrators, and Paraplanners, proactively identifying compliance risks while ensuring alignment with all relevant legislation and industry standards.
Key Responsibilities Compliance & Risk Management
Conduct risk assessments and proactively identify and mitigate compliance risks
Execute Line 1 and Line 2 compliance monitoring activities, including control checks, CDD/EDD reviews, and reporting
Design and implement action plans to address compliance gaps
Oversee the full fit-and-proper lifecycle for representatives
Policies & Governance
Draft, implement, and maintain compliance policies and procedures, including POPIA...
Compliance Officer
to join their governance structure. This role plays a critical function in ensuring regulatory adherence, mitigating risk, and embedding a strong culture of compliance across the business.
The successful candidate will work closely with Wealth Managers, Administrators, and Paraplanners, proactively identifying compliance risks while ensuring alignment with all relevant legislation and industry standards.
Key Responsibilities Compliance & Risk Management
Conduct risk assessments and proactively identify and mitigate compliance risks
Execute Line 1 and Line 2 compliance monitoring activities, including control checks, CDD/EDD reviews, and reporting
Design and implement action plans to address compliance gaps
Oversee the full fit-and-proper lifecycle for representatives
Policies & Governance
Draft, implement, and maintain compliance policies and procedures, including POPIA...