Senior Compliance Officer Western Cape

Sanlam Group is actively recruiting for a Senior Compliance Officer position in Western Cape. This is an excellent opportunity for professionals in the Finance / Accounting / Audit sector looking to advance their careers.

• Experience Level: 5 - 7 years • Educational Background: Others or equivalent • Industry Focus: Finance / Accounting / Audit • Location Preference: in Western Cape

Financial professionals like Senior Compliance Officer are vital for organizational stability and compliance. This role offers the opportunity to impact business strategy and financial health.

This role in Finance / Accounting / Audit offers valuable career progression opportunities aligned with your experience level and professional aspirations.

When applying for this Senior Compliance Officer position, ensure your CV highlights: • Relevant experience matching the 5 - 7 years requirement • Educational qualifications in line with Others • Specific achievements in the Finance / Accounting / Audit field • Any certifications or specialized training

The Finance / Accounting / Audit sector in South Africa continues to show strong demand for skilled professionals. This position represents a valuable opportunity in the current job market.

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What will you do?

Support the Head of Compliance in maintaining a robust compliance function within the business risk framework Incorporate new legislation into existing frameworks and processes Ensure regulatory obligations and compliance deadlines are met

Develop, update and implement compliance policies and procedures across key regulations Monitor adherence to rules, policies and limits, and recommend enhancements Monitoring and risk management Develop and maintain Compliance Risk Monitoring Plans (CRMPs), Compliance Monitoring Plans (CMPs) and Working Papers (WPs), including defining monitoring scope and frequency Conduct independent reviews to identify compliance risks and implement corrective actions

Systems, reporting and optimisation

Develop and maintain tools and systems to support compliance monitoring Stakeholder engagement and support Support regulatory engagement alongside the Head of Compliance  Support training initiatives on compliance and new legislation Assist in oversight of junior compliance team members on regulatory tasks

General

Perform ad hoc compliance-related tasks as required

What will make you successful in this role?

Success in this role requires solid compliance experience within financial services, with a strong understanding of financial markets, instruments and the regulatory landscape. You bring deep working knowledge of key legislation, particularly FAIS and JSE requirements, and are comfortable operating across CAT I and CAT II FSP environments, applying regulation practically within a business context rather than purely theoretically. You have the credibility and professional grounding expected of a senior role, including relevant industry exposure and ideally professional affiliation or certification in compliance. You are able to operate independently in a high-accountability environment, using strong analytical thinking and judgement to interpret regulation, manage risk and meet regulatory deadlines.

B Com (Law), LLB or similar FSCA recognised qualification FSCA RE Examinations completed Eligible for FAIS Compliance Officer and/or JSE Equity Compliance Officer registration 5 – 7 years compliance related experience in the financial services industry SAIFM Compliance certification an advantage Member of the Compliance Institute of Southern Africa an advantage

Knowledge and skills

Strong working knowledge and practical application of financial markets legislation Sound understanding of key regulatory frameworks, particularly FAIS and JSE Equity Rules and Directives, with broader exposure to FICA, AML, FATCA, POPIA and Regulation 28; SARB and NCA advantageous Strong computer literacy, including MS Office, FAIS e-Portal and JSE BDA systems; exposure to Copilot and other AI tools advantageous Strong numeracy skills and sound technical understanding of financial products and instruments Well-developed research and due diligence capability Ability to interpret regulatory requirements within a broader business context and apply sound, balanced judgement Ability to identify opportunities for process improvement, system optimisation and automation Insight into the application of AI and robotics within a compliance environment advantageous

Personal qualities

Assertive, self-motivated and achievement-driven, with a strong commitment to personal and organisational success Strong time management, prioritisation and planning capability, with the ability to manage a diverse and complex workload Able to work independently with minimal oversight, demonstrating strong accountability Strong analytical and logical thinking capability Excellent written and verbal communication skills, including report writing Strong organisational and administrative capability, with a high attention to detail, accuracy and deadlines Proactive, solutions-oriented thinker with the ability to interpret regulation pragmatically Resilient and able to perform effectively in a high-performance, pressurised environment Demonstrates sound independent judgement and decision-making under pressure Strong negotiation and influencing capability Able to operate at both a strategic and detailed level, with the ability to implement processes and frameworks High ethical standards, with a professional, honest, transparent and dependable approach Adaptable, quick to learn and able to think creatively Professional, approachable and positive in engagement