Compliance Officer

Responsibilities

• Serve as the appointed FAIS Compliance Officer for a CAT I FSP, FIC MLRO, and S13B Compliance Officer.
• Manage FAIS monitoring and planning, including updating monitoring plans to align with relevant legislation.
• Monitor Continuous Professional Development (CPD), Class of Business (COB), and Product Specific Training (PST) for all representatives and Key Individuals.
• Oversee representatives under supervision to ensure compliance and evidence of proper supervision.
• Act as MLRO by staying updated on relevant legislation, assisting with FIC reporting, and providing oversight of ongoing FICA monitoring.
• Plan and implement compliance training for Prescient Fund Services regarding relevant fund administration legislation.
• Collate and submit regulatory submissions for PFA S13B licenses and any ad-hoc reporting required by the FSCA.
• Liaise with the FSCA regarding licensing requirements for the PFS Group.

Requirements

• 5–8 years of experience in a regulatory compliance role within Financial Services or Fund Services.
• FAIS registered Compliance Officer for Category I.
• Degree or Post Graduate Qualification.
• RE 1 and RE 5 certifications.
• Strong attention to detail and ability to drive projects to completion.
• Excellent written and verbal communication skills.

About the Company

Prescient is a multinational financial services business providing investment management, stockbroking, platform and administration services, and retirement solutions. We pride ourselves on where exceptional expertise meets meticulous financial services.