179 Certified Fraud Examiner jobs in South Africa

Discovery Group Compliance - FAIS Centre of Excellence

Compliance Officer - Complaints and Debarments - Governance

Discovery’s core purpose is to make people healthier and to enhance and protect their lives. We seek out and invest in exceptional individuals who understand and support our core purpose, and whose own values align with those of Discovery. Our fast-paced and dynamic environment enables smart, self-driven people to be their best. As global thought leaders, Discovery is passionate about innovating in order to not only achieve financial success, but to ignite positive and meaningful change within our society.

The Financial Advisory and Intermediary Services Centre of Excellence (FAIS COE) is an independent compliance function that provides compliance oversight and advice to Discovery FSPs, key individual and representatives. The purpose of this role is to ensure adherence to regulatory requirements and internal policies related to the effective handling of FAIS client complaints and the fair and legally sound execution of debarment processes within the Financial Services Providers (FSPs).

This role involves investigating complaints, managing the debarment lifecycle, providing guidance and support and maintaining accurate records to mitigate regulatory and reputational risk. The Complaints team is also responsible for all FAIS related complaints and responses to complaints from the Regulator, Tribunal and complainants.

This role description outlines the general nature and level of work performed by individuals assigned to this position. It is not intended to be an exhaustive list of all responsibilities, duties and skills required. The company reserves the right to modify the content of this role description at any time.

• General
• Ensure the implementation of the Complaints Management Framework within the Discovery FSPs
• Review all relevant documents such as policies, SOPs, training material, infographics, etc.
• Facilitate the implementation process of the Debarment Policy within the Discovery FSPs
• Receive, log and acknowledge FAIS-related complaints through established channels
• Conduct thorough and impartial investigations into complaints or recommendations for debarments, gathering relevant information from internal stakeholders or clients
• Analyse complaint and debarment details to identify root causes, potential regulatory breaches, and areas for process improvement
• Prepare comprehensive investigation reports with findings, conclusions and recommended solutions
• Ensure timely and appropriate communication with complainants or stakeholders throughout the investigation process
• Facilitate fair and effective resolution of upheld complaints, ensuring adherence to internal policies and regulatory timelines
• Compile the document packs for complaints or debarments as required
• Facilitate the debarment forum and compile the debarment packs or other documentation as required
• Review the FAIS hearings and Debarments process and enhance efficient way of work where applicable
• Ensure that all relevant documents for the Tribunal Cases are prepared and timeously submitted
• Draft responses to regulator and/or FSCA
• Provide data and information on complaints and debarments for the FAIS reports as required
• Providing guidance into business processes, procedures and systems
• Keep abreast of regulatory developments and changes in the financial services industry, with particular focus on FAIS and all subordinated legislation
• Engage the relevant stakeholders in all complaints and debarments
• Ensure that all registers are populated timeously with the relevant data
• Maintain accurate and up-to-date records of all complaints, investigation activities and resolutions
• Identify and escalate systemic issues or trends arising from complaints and debarments to relevant stakeholders
• Managing stakeholder relationships (internal and external)
• Liaise effectively with internal stakeholders, including business units and legal, to facilitate complaint investigations and debarment processes
• Build and maintain positive working relationships with the Forensic department and all other stakeholders
• Act as a point of contact for the FSCA and other external stakeholders regarding complaints and debarment matters
• Draft reports for distribution to Exco, business units and Committees on complaints, debarments and trends identified
• Debarments, Complaints and Tribunal matters
• Manage the debarment and complaints mailboxes (check mails daily, save to the relevant folder and update the register and Sharepoint)
• Manage the end-to-end debarment process in accordance with the FAIS Act and internal debarment policy and SOP
• Gather and review information relevant to potential debarment cases, ensuring thoroughness and accuracy
• Draft all necessary documents for the Debarment (such as Notice of Intention to Debar, outlining the grounds for debarment and providing the representative with an opportunity to respond, FAIS hearing process, Tribunal cases and complaints
• Prepare comprehensive debarment packs for presentation to the Debarment Forum or relevant decision-making committee
• Ensure adherence to procedural fairness throughout the debarment process
• Maintain proper record of all debarment proceedings and outcomes
• Ensure timely notification of debarment to the FSCA and relevant internal stakeholders
• Ensure the registers are up to date and tracked as a live document
• Review reports from business units and/or forensic reports and provide recommendations to business
• Conduct FAIS Hearings, Debarments and Debarment Forum (follow process)
• Provide guidance and support on complaints and debarment process
• Reporting and Analysis
• Prepare regular reports on complaint trends, debarment statistics and key risk indicators
• Analyse complaint and debarment data to identify areas for improvement in processes, training and overall compliance
• Ad hoc requests
• Assist with any ad hoc requests from Management

• 3-5 years’ knowledge and experience in complaints handling and debarments;
• 3-5 years’ experience working for a financial service provider in the application of the FAIS Act as well as thorough understanding of the legislation; and
• Familiarity with regulatory reporting requirements
• Relevant tertiary education (eg., Law, Compliance, Risk Management)
• Post-graduate qualification in Compliance Management, RE1, RE5, etc. (advantageous)
• Member of CISA, Registered Compliance officer with the FSCA (advantageous)

• Detailed knowledge of FAIS related legislation and regulations to be able to interpret and apply legislation
• Strong analytical and problem-solving skills
• Ability to make rational judgements from the available information and analysis and provide considered and consistent advice
• Strong written and verbal communication skills, including report writing and presentation abilities
• Ability to work as a team, understand the impact of decisions and be confident enough to raise concerns within the team and to senior management
• Strong research ability and high level of attention to detail and accuracy
• Ability to work independently and as part of a team
• Strong ethical principles and a commitment to fairness and impartiality
• Ability to work well under pressure
• Efficient time management skills, including quick turnaround time on quality work
• Proficiency in relevant software and systems (e.g. MS Office Suite, complaints management system)

The Company’s approved Employment Equity Plan and Targets will be considered as part of the recruitment process. As an Equal Opportunities employer, we actively encourage and welcome people with various disabilities to apply.

The Compliance Officer will be responsible for ensuring that Salt EB adheres to all legal and regulatory requirements related to being a financial services and retirement fund administration provider. This includes monitoring compliance with South African financial sector and retirement fund legislation, providing guidance to internal teams, and implementing compliance frameworks to mitigate risks.

Key Responsibilities

• Develop, implement, and maintain compliance policies and procedures in line with the Pension Funds Act, Financial Sector Regulation Act, Financial Advisory and Intermediary Services (FAIS) Act, and other applicable legislation.
• Monitor legislative and regulatory developments affecting the financial services and retirement fund industries and advise stakeholders on compliance obligations.
• Conduct regular compliance audits and risk assessments to ensure adherence to legal and regulatory standards.
• Develop and implement compliance training programs for employees to promote awareness of regulatory requirements.
• Ensure that Salt EB maintains proper records and documentation in compliance with regulatory requirements.
• Act as a liaison between Salt EB and its outsourced compliance consultant (Moonstone), regarding compliance matters.
• Act as a liaison between Salt EB and regulatory bodies, such as the Financial Sector Conduct Authority (FSCA), regarding compliance matters.
• Assist in preparing reports for the Board, senior management, and regulators on compliance-related matters.

Investigate compliance breaches and work with relevant departments to implement corrective actions.

• Support the due diligence process for clients and service providers to ensure compliance with anti-money laundering (AML) and counter-terrorism financing (CTF) regulations.
• Stay updated on industry best practices and emerging compliance risks related to the financial services sector and retirement fund administration.

Qualifications & Skills

• Bachelor’s degree in law, Business Administration, Risk Management, or a related field.
• Registered Compliance Officer (FSCA approval) or relevant compliance certification (e.g., CPrac (SA), CProf (SA), or similar).
• Minimum 3-5 years of experience in compliance, risk management, or regulatory affairs within the retirement fund industry or financial services sector.
• Strong knowledge of South African financial services and retirement fund laws, regulations, and industry standards.
• Excellent analytical, problem-solving, and communication skills.
• Ability to work independently and provide strategic compliance advice to senior management.
• Proficiency in Microsoft Office Suite and compliance management systems.
• Experience working with retirement funds and financial services.
• Familiarity with King IV governance principles and risk management frameworks.
• Strong interpersonal skills to engage with stakeholders at various levels.

Compliance Officer • Johannesburg, South Africa

Overview

Ready to make your mark in a leading financial services environment? We're looking for a confident and registered Compliance Officer to join a well-established team driving compliance excellence across South Africa.

This role offers a mix of head-office responsibility and regional impact ideal for someone who enjoys variety, independence, and the chance to make real contributions across branches in Kimberley, PE, Bloem, and beyond.

As a Compliance Officer, you'll ensure key regulatory frameworks (FAIS, FICA, and more) are implemented, maintained, and monitored across the business. You'll manage compliance projects end-to-end and advise on risk while keeping stakeholders and the regulator aligned through clear reporting and expert guidance.

• Maintain and implement the Compliance Risk Management and Monitoring Plan
• Compile compliance reports for internal teams, clients, and regulators
• Interpret and apply new legislation across the business
• Review marketing materials per Board Notice 92 standards
• Manage FAIS compliance processes and key individual / rep registers
• Support and advise on TCF (Treating Customers Fairly) outcomes

• BCom Law or LLB qualification (essential)
• RE 1 certification
• FSCA-registered CAT 1 Compliance Officer (CAT 2 preferred)
• 3-4 years' experience in financial services compliance
• Solid understanding of FAIS, FICA, and related legislation
• Own vehicle and valid driver's license, must be willing to travel across the country (fully compensated)

• Competitive salary
• Opportunity to work across multiple branches, variety and visibility
• Supportive compliance team with room to grow
• Travel costs covered for regional visits

If you're ready to bring your UK VAT expertise to a fast-paced, global setting apply now. If you don’t hear back from us within 2 weeks of applying, please consider your application unsuccessful. But stay in touch, follow us online, and keep an eye out for future opportunities.

Job Title: Compliance Officer

Company: GED Africa

Location: Democratic Republic of Congo, Mauritius, Zambia.

Responsibilities:

1. Ensure compliance with regulatory requirements.
2. Conduct audits and assessments.
3. Develop and implement compliance policies.
4. Provide training and support to staff.

Qualifications:

1. Bachelor's degree in a relevant field.
2. Minimum of 3 years of experience in compliance.
3. Strong analytical and communication skills.

Overview

Relevant Legal / Commercial / Audit qualification

Compliance Practitioner (CPRAC) Qualification

5 years compliance / Risk Management related experience

Market analysis research

General business management knowledge

Experience in developing and implementing compliance policies and procedures

Correspondence will only be conducted with shortlisted candidates. Should you not hear from us within 3 days, please consider your application unsuccessful

Full Time

Company Social

Reference: PE -HP -2

Our Client, a national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs), develops and delivers unique compliance, risk management, practice management, and business intelligence services.

Two vacancies exist within the current structure, which requires an experienced Compliance Officer to be based in the Port Elizabeth and East London offices , respectively.

Reporting to the Regional Manager, performance areas include, but are not limited to:

• To effectively deliver quality compliance and risk management service to our clients at a regional level.
• Adherence to the compliance requirements as dictated by the FSCA.
• To grow the Company's Eastern Cape client base by marketing all the company's services to non-company clients.
• To market all services to the existing company client base.
• To assist the company regionally with Virtual Compliance, Risk Management, Implementation, and other Sales Projects.
• Outsourced compliance function delivered to financial services clients and other FICA-accountable institutions.
• Fulfil compliance function required in terms of FAIS, FICA, and other applicable legislation and business requirements.
• Establish a culture of compliance and provide a compliance risk framework to clients.
• Assist clients to achieve the TCF outcomes.
• Perform all functions to the standard and deadlines set by the Regional Manager.
• Provide clients with high quality, personalised, and substantive reports.
• Include clients in compliance processes and provide post-monitoring feedback.
• Maintain records as required by the business.
• Display behaviour and attitudes which positively contribute to the well-being and development of the regional team, the company, and its clients.
• Sourcing and signing up of new clients.

• Matric essential.
• Tertiary Diploma (minimum of NQF level 5) or Degree in Legal/Accounting/Financial is essential.
• A FSCA (FSB) recognised qualification is advantageous.
• Registered Category I (Category II if possible) Compliance registered Officer with the FSCA.
• Minimum 5 years’ experience in compliance or risk management within the financial services industry.
• A good working knowledge of compliance legislation viz FICA and FAIS.
• Understanding and knowledge of risk management principles.
• Computer literate (MS Office Suite).
• Open to SA citizens with a clear criminal and credit history.
• Valid unendorsed Driver’s License, with own vehicle (preferred).

• Must possess an ownership mentality and a willingness to take responsibility for tasks through to completion.
• Attention to detail, goal-oriented, and a desire to achieve your objectives.
• Highly organised, good at multi-tasking, and able to deal with people at all levels.
• Exceptional verbal and written communication skills.
• Ability to work under pressure, independently, and as part of a team.
• Proficient presentation skills.

Port Elizabeth or East London

Financial Services Industry

3-5+ years

Permanent, full-time

Open

Monday to Friday, 08H00 - 16H30

Market-related basic (Pension Included) + Commission and Annual Performance Bonus.

Shortlisted candidates may be expected to complete and pass assessments before moving to the next stage of the recruitment process.
Should you not be contacted within two weeks, please consider your application unsuccessful.

Ready to make your mark in a leading financial services environment? We're looking for a confident and registered Compliance Officer to join a well-established team driving compliance excellence across South Africa.
This role offers a mix of head-office responsibility and regional impact ideal for someone who enjoys variety, independence, and the chance to make real contributions across branches in Kimberley, PE, Bloem, and beyond.

About the role:

As a Compliance Officer, you'll ensure key regulatory frameworks (FAIS, FICA, and more) are implemented, maintained, and monitored across the business. You'll manage compliance projects end-to-end and advise on risk while keeping stakeholders and the regulator aligned through clear reporting and expert guidance

• Maintain and implement the Compliance Risk Management and Monitoring Plan
• Compile compliance reports for internal teams, clients, and regulators
• Interpret and apply new legislation across the business
• Review marketing materials per Board Notice 92 standards
• Manage FAIS compliance processes and key individual/rep registers
• Support and advise on TCF (Treating Customers Fairly) outcomes

• BCom Law or LLB qualification (essential)
• RE 1 certification
• FSCA-registered CAT 1 Compliance Officer (CAT 2 preferred)
• 3-4 years' experience in financial services compliance
• Solid understanding of FAIS, FICA, and related legislation
• Own vehicle and valid driver's license, must be willing to travel across the country (fully compensated)

• Competitive salary
• Opportunity to work across multiple branches , variety and visibility
• Supportive compliance team with room to grow
• Travel costs covered for regional visits

Let's connect!
If you're ready to bring your UK VAT expertise to a fast-paced, global setting apply now.If you don't hear back from us within 2 weeks of applying, please consider your application unsuccessful. But stay in touch follow us online and keep an eye out for future opportunities.

• Professional certification, such as CCO (Certified Compliance Officer), may be preferred or required
• Strong knowledge of relevant laws, regulations, and standards in food safety
• Ability to analyse complex regulations and identify potential compliance risks.
• Excellent communication and interpersonal skills.
• Ability to develop and implement effective compliance solutions.
• Strong attention to detail and ability to maintain accurate records.

• Monitor and analyse regulations: Stay up to date with changes in laws, regulations, and food standards that affect the organization.
• Develop and implement compliance policies: Create and implement policies and procedures to ensure compliance with relevant regulations.
• Conduct risk assessments: Identify potential compliance risks and develop strategies to mitigate them.
• Train employees: Educate employees on compliance policies and procedures.
• Investigate and respond to compliance issues: Investigate and respond to compliance issues, including conducting internal audits and investigations.
• Collaborate with other departments: Work with other departments, such as legal, risk, health and safety management, and internal audit, to ensure compliance.
• Report to management and regulatory bodies: Provide reports to management and regulatory bodies on compliance issues and progress.

Are you wanting to start your career in Compliance? If so, this is an amazing opportunity to get trained up in a 3 year programme whilst working for my client on a full time basis. The client is a boutique Wealth team where you are not just a number. If this is you, please apply!

Why join this team?

• Join a small, client-focused asset management firm
• Supportive environment that values integrity, proactive solutions, and professional growth

What you will be doing:

• Assist advisors with FICA compliance documentation
• Review and suggest improvements to client onboarding processes
• Provide weekly process feedback in staff meetings
• Support admin staff with certain transactions
• Complete ongoing online compliance awareness training
• Participate in quarterly compliance assessments
• Attend monthly compliance training sessions
• Research compliance-related topics as needed

What we are looking for:

• Relevant BComm degree
• Strong commitment to building a career in compliance
• Motivated, detail-oriented, and eager to learn
• Ability to work full-time with daily office attendance

Benefits and unique aspects:

• Direct mentorship from a senior compliance officer
• Career progression into an authorised compliance officer role

Please note if you haven't heard back from us within two weeks of submitting your application, unfortunately your application has not been successful this time. We'd still love to stay connected, follow us online and keep an eye out for future opportunities that match your profile.