161 Compliance Consultant jobs in South Africa

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.

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.

Business Unit: Discovery Central Services

Function: Compliance

Date: 12 Sept 2025

Discovery Group Compliance - FAIS Centre of Excellence

Compliance Officer - Complaints and Debarments - Governance

About Discovery

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.

Job Description

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.

Areas of responsibility

The successful candidate will be required, primarily, but not limited to:

• 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

Education and Experience

• 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)

Skills and Personal Attributes

• 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)

EMPLOYMENT EQUITY

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.

Vacancy: Compliance Officer

Location: George

If you are someone who does not flinch under pressure, notices the details others miss, and thrives in a fast-paced environment where excellence is non-negotiable, we want to hear from you. Tax Consulting South Africa is seeking a highly driven Compliance Officer who brings more than administrative capability.

In this pivotal position, you will oversee vendor compliance, ensuring every document, service legal agreement and process is not just complete, but airtight. Your responsibility will be to keep vendor relationships, documentation, and internal processes sharp, accurate, and meets the standard.

Qualification & Skills

• Qualification in related field preferred
• Prior experience in compliance, legal, vendor management, or a related field is highly advantageous
• Strong organisational and time management skills

Key Responsibilities

• Manage vendor onboarding by collecting, verifying, and updating all compliance documents (e.g., licences, certificates, SLAs)
• Keep all compliance-related documents organised and secure.
• Track important deadlines such as renewals, expiries, and reporting dates in order to follow up before anything is due
• Prepare and share accurate compliance records for internal and external audits
• Communicate and help implement company compliance policies and procedures
• Update management regularly on the status of compliance, issues, and progress
• Ensure staff across departments understand compliance requirements and assist where needed
• Keep records of communication and actions taken for audit trails and accountability
• Monitor and update the compliance checklist or tracking systems
• Support compliance training initiatives to ensure staff awareness and adherence to compliance standards.