Junior Compliance Officer, Johannesburg

Wednesday, 12 February, 2020
Chantel Mouton     +27 74 584 4866

Our client is a leading service provider to Financial Service Providers and they have on offer a great opportunity for someone seeking to gain knowledge and experience as a Compliance Officer.

The successful applicant will be registered as a Compliance Officer under supervision with the Financial Sector Conduct Authority and be provided the opportunity to complete the statutory period under the supervision of a duly qualified and experienced compliance officer designated by the company. This will be an ideal position for a recent graduate who wants to pursue a career in the Financial Services Regulatory Compliance space.

The role will provide a practical internship, during which the applicant will receive on the job training and mentorship in the provision of outsourced compliance and risk management services to clients in the financial services industry. The applicant will be required to assist the supervising Compliance Officer in executing their statutory duties. Duties will include risk identification and management, monitoring, research and administrative support functions to mitigate the risk of non-compliance with legislation and regulations.

Duties & Responsibilities:

  • Assisting with identifying legislative risks and improving compliance awareness through risk identification, stakeholder engagement and creating mitigation and monitoring strategies to effectively scope and manage the broader regulatory risk environment
  • Assisting with developing, implementing and maintaining risk and compliance documents, policies and procedures
  • Assisting with the establishment and maintenance of procedures on the identification, reporting and resolution of compliance and regulatory issues
  • Assisting in monitoring compliance with applicable legislation, industry developments and internal procedures
  • Conducting physical and electronic audits on clients as directed.
  • Collating data and create reports in the format provided within timeframes provided
  • General client correspondence, notifications, legislative references and queries
  • Escalation of identified breaches to management
  • Liaising with clients and industry role players
  • Researching as directed by the appointed Supervisor
  • Timeous achievement of supervision milestones as per supervision plan in order to facilitate self-directed growth

Minimum Requirements:

  • Applicants with a completed Law / Commerce / Investment degree, that has been recognised by the FSCA, will be preferred
  • Advantageous: 1 - 2 years’ working experience, preferably in a legal, compliance or financial environment
  • Advantageous: Any background in the financial services industry and legislation (FAIS, FICA, LTIA, STIA, FMA, etc.)
  • Computer literacy: Microsoft Office (Word, Excel, and Outlook)
  • Fully bilingual in BOTH English and Afrikaans
  • Must be task-oriented, be presentable and self-motivated
  • Valid driver's license and own transportation is essential as the position will require you to attend meetings at clients’ offices
  • Preference will be given to AA / EE applicants
  • Ability to read legislation
  • Familiarity with legal terminology
  • Able to work independently
  • Function well under pressure
  • Professional presentation and approach
  • Detail-orientated
  • High ethical standards
  • Desire to learn
  • Ability to work to strict deadlines


  • Our client offers a salary package of up to R 15 000 p/m

Applications to be sent to chantel@spencerrogers.co.za. Please apply with an updated MS Word/PDF CV with suitable profile photo.

(Please note that we experience high volumes of candidates responding to our advertised vacancies. This makes it impossible for us to reply to each applicant individually. Should you not hear from us within a week upon applying, please consider your application unsuccessful.)