196 Compliance Officer jobs in South Africa

Ensuring that all business licenses are obtained.

Developing compliance assessment programs.

Ensuring all operational employees are licensed.

Ensuring strict compliance with all the Financial Intelligence Centre Act (FICA), Protection of Personal Information Act (POPIA), and company policies and procedures in the respective departments.

Building strong relationships.

Must be a recent Legal graduate.

Must have at least 2 years' experience in an auditing space.

Suitable candidates will be contacted. If you do not get a response within 14 days, please consider your application unsuccessful.

Position: Compliance Officer • Johannesburg, South Africa

Reference: PE000172-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.

Do you have an unwavering attention to detail and an eye for spotting discrepancies? Are you well versed in managing, overseeing, and monitoring Financial Advisory and Intermediary Services (FAIS) compliance to ensure adherence? Are you skilled in evaluation and coaching? If so, we want you to join us as a Compliance Officer.

We’re Hiring!

Our mission is to unleash the potential in our team, believing that diversity and inclusion foster performance. As a Compliance Officer, you will be the custodian of company compliance and play a key role in risk mitigation within the Financial Services Provider space.

What can we offer you? Some of our benefits include:

• Modern, fit-for-purpose people practices.
• A state-of-the-art tech campus with an on-site gym.
• Two on-site restaurants offering a variety of meals and freshly brewed coffee.

Who is a good fit?

A detail-oriented specialist with a strong understanding of FAIS and FICA compliance, the financial services industry, and processes within an FSP environment. Excellent communication skills and the ability to provide constructive feedback and coaching are essential.

Key duties and responsibilities include:

1. Implementing and enforcing compliance programs.
2. Maintaining awareness of regulatory frameworks and obligations under FAIS, FICA, and related laws.
3. Consulting with operational managers to ensure legal and regulatory conformance.
4. Monitoring FAIS compliance, including license conditions and levies.
5. Performing sampling and monitoring activities.
6. Maintaining the register of representatives and informing the Registrar of changes.
7. Controlling AML and FATCA compliance.
8. Reviewing documents and advising on their acceptability.
9. Ensuring ongoing statutory compliance.
10. Monitoring and validating investor files, supporting investor teams, updating procedures, and participating in compliance committees.
11. Developing and revising policies and procedures for regulatory compliance.
12. Identifying compliance vulnerabilities, developing corrective actions, and providing guidance.
13. Reporting compliance status to management to mitigate risks.
14. Ensuring effective risk management and internal controls.

Required skills and attributes:

• Self-confidence and self-regulation.
• Trustworthiness and conscientiousness.
• Loyalty and organizational commitment.
• Assertiveness and attention to detail.
• Confidentiality, time management, and prioritization skills.
• Project management and organizational skills.
• Effective communication and active listening.
• Flexibility and willingness to assist beyond job scope.
• Enthusiasm for learning and self-improvement.
• Ability to work accurately under pressure.
• Analytical skills and accountability.
• Team-oriented mindset.

Minimum requirements:

• Computer literacy in MS Office.
• Senior Certificate (Matric).
• Registration as a Compliance Officer with the FSCA (advantageous).
• 3-6 years’ experience in a compliance role within financial services.
• Knowledge of compliance risk management and monitoring programs.
• Understanding of relevant regulations (FAIS, FICA, LTIA, PPR, POPIA).
• Degree in Compliance, Law, or related field.
• Proficiency in English and Afrikaans, both spoken and written.
• Willingness to work long hours when necessary.

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.

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

• 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.

Join a Leading Force in Financial Compliance -
Be the Compliance Officer Who Drives Integrity & Trust in the Financial Services Sector

A trusted name in compliance and risk management, is on the lookout for a dynamic, FSCA-approved Compliance Officer (Category I) to join their Western Cape team. Based in the vibrant hub of Tyger Valley, Cape Town, this is an opportunity to make a meaningful impact across South Africas financial services landscape.

About the Role:

The Compliance Officer will be responsible for delivering expert, outsourced compliance solutions to a portfolio of independent Financial Services Providers (FSPs). This individual will play a key role in embedding a culture of compliance, ensuring regulatory excellence, and strengthening client trust through smart, risk-informed guidance.

From conducting onsite visits to delivering sharp, personalised reports the successful candidate will be the go-to advisor, helping businesses navigate legislation like FAIS, FICA, and Treating Customers Fairly (TCF) requirements with confidence and clarity.

Key Responsibilities
Champion a full-spectrum compliance service in line with FAIS, FICA, and FSCA mandates

Build and nurture relationships with FSPs across the region

Create and maintain compliance risk frameworks tailored to client needs

Conduct compliance monitoring visits and draft high-impact reports

Deliver post-monitoring feedback and offer actionable insights

Maintain detailed compliance records in line with best practices

Play a key role in business development by sourcing and signing new clients

Collaborate closely with the Regional Manager to meet strategic goals

Minimum Requirements
A relevant tertiary qualification in Law, Accounting, or Finance

FSCA-approved Compliance Officer (Category I) status (this is essential)

At least 3 years of hands-on compliance or risk management experience within financial services

Familiarity with Category I FSP operations

A valid drivers license (client travel may be required)

Skills & Competencies
In-depth knowledge of FAIS, FICA, and broader compliance legislation

Strong grasp of risk management principles

Outstanding verbal and written communication

Excellent presentation and interpersonal skills

Self-starter who thrives both independently and within a team

Deadline-driven with a client-first mindset

Job Summary:

The Compliance Officer will leverage their expertise to ensure the company adheres to legal standards and in-house policies. They will enforce regulations across all business levels and provide expert guidance on compliance and legal matters.

Qualifications:

• Bachelors degree in Law, Finance, Business Administration, or a related field
• 3 5 years experience as a Compliance Officer or in a legal advisory role
• In-depth knowledge of industry standards, regulations, and legal requirements
• Excellent knowledge of reporting procedures and record-keeping
• Strong business acumen partnered with a dedication to legality
• Strong understanding of corporate law and governance
• Methodical and diligent with outstanding planning abilities
• An analytical mind able to "see" the complexities of procedures and regulations
• Excellent communication and negotiation skills

Advantageous

• Certification in compliance (e.g., Certified Compliance & Ethics Professional)
• Admitted attorney

Key Responsibilities:

• Develop and oversee control systems to prevent or address violations of legal guidelines and internal policies
• Provide legal advice and support on compliance issues, ensuring alignment with regulatory requirements
• Evaluate the efficiency of controls and improve them continuously, utilising legal expertise to identify potential risks
• Draft, modify, and implement company policies with a strong legal foundation
• Collaborate with corporate Counsel and HR departments to monitor the enforcement of standards and regulations
• Conduct legal research and stay updated on regulatory developments within or outside of the company
• Assess the businesss future ventures to identify possible compliance and legal risks
• Review the work of colleagues when necessary to identify compliance issues and provide legal advice or training
• Prepare detailed reports for senior management and external regulatory bodies as appropriate
• Assist clients with FICA compliance queries on an ad hoc basis

If this sounds like you, we would like to chat with you. Forward your CV and our team will be in touch to discuss your CV and skillset. Thank You

Job Summary:

The Compliance Officer will leverage their expertise to ensure the company adheres to legal standards and in-house policies. They will enforce regulations across all business levels and provide expert guidance on compliance and legal matters.

Qualifications:

• Bachelors degree in Law, Finance, Business Administration, or a related field
• 3 5 years experience as a Compliance Officer or in a legal advisory role
• In-depth knowledge of industry standards, regulations, and legal requirements
• Excellent knowledge of reporting procedures and record-keeping
• Strong business acumen partnered with a dedication to legality
• Strong understanding of corporate law and governance
• Methodical and diligent with outstanding planning abilities
• An analytical mind able to "see" the complexities of procedures and regulations
• Excellent communication and negotiation skills

Advantageous

• Certification in compliance (e.g., Certified Compliance & Ethics Professional)
• Admitted attorney

Key Responsibilities:

• Develop and oversee control systems to prevent or address violations of legal guidelines and internal policies
• Provide legal advice and support on compliance issues, ensuring alignment with regulatory requirements
• Evaluate the efficiency of controls and improve them continuously, utilising legal expertise to identify potential risks
• Draft, modify, and implement company policies with a strong legal foundation
• Collaborate with corporate Counsel and HR departments to monitor the enforcement of standards and regulations
• Conduct legal research and stay updated on regulatory developments within or outside of the company
• Assess the businesss future ventures to identify possible compliance and legal risks
• Review the work of colleagues when necessary to identify compliance issues and provide legal advice or training
• Prepare detailed reports for senior management and external regulatory bodies as appropriate
• Assist clients with FICA compliance queries on an ad hoc basis

If this sounds like you, we would like to chat with you. Forward your CV and our team will be in touch to discuss your CV and skillset. Thank You