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Compliance Officer

Remuneration:Market related 
Location:Cape Town, Northern Suburbs
Job level:Junior/Mid

Job description

We have a role available for an experienced professional who will assist the compliance manager to manage and monitor compliance obligations across the business.


 Key Performance Areas:
  • Assist Compliance Manager with, inter alia, implementation and monitoring of NCA, Corporate Governance, POPIA and Cyber Crime Legislation.
  • Assist Compliance Manager in ensuring that businesses are registered with relevant regulators such as NCR, Council for Debt Collectors, other regulators in line with legislation.
  • Assist Compliance Manager in ensuring that compliance reports are prepared and submitted within the timelines to the various regulators such as NCR, Council for Debt Collectors, etc 
  • Assist Compliance Manager in ensuring that businesses do not operate without licence and operates in compliance with its licensing conditions.
  • Assist to design, develop and maintain internal control systems, procedures and policies to ensure compliance with legislation and industry standards/guidelines.
  • Compile compliance review plans based on legislative requirements, conduct compliance reviews on various business units and draft detailed compliance review reports.
  • Report on non-compliance and track progress made by business units to address previously reported contraventions.
  • Review monitoring plans for all applicable legislation in line with the regulatory universe.
  • Assist with the identifying of potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolving problematic issues and provide general guidance on how to avoid or deal with similar situations in future.
  • Monitor strategic and operational registers in line with legislation and internal processes.
  • Assist to ensure all customer facing documentation is amended and / or updated in order to be compliant with legislation.
  • Assist to set up and establish training modules, programmes and/or presentations to ensure staff and customer education as required by law and as identified to improve compliance within the business.
  • Work closely with the various role players in the Legal & Compliance office in terms of legal services, resolving customer complaints and corporate governance functions.
  • Ad hoc administrative assistance within the legal and compliance team, as required.
  • Degree in Law/Risk/Compliance essential
  • Certificate in Compliance Management (advantageous)
  • Minimum three to five years’ experience as Compliance Officer within the Financial Services Industry, with a focus on compliance monitoring, POPIA, Corporate Governance, Risk, Cyber security
Functional Competencies
  • Proficient in MS Office (Ms Word; PowerPoint; Excel and Outlook)
  • Registration as FSB CATII Compliance Officer (advantageous)
  • Working knowledge, understanding and application of industry related legislative requirements essential
  • Membership with Compliance Institute (advantageous)
Behavioural Competencies
  • Problem-solving skills
  • Excellent communication skills
  • Strong attention to detail
  • Must be deadline driven
  • Ability to work independently and proactively
  • Interpersonal and negotiating skills
  • Analytical ability as well as strong project management skills
  • Strong work ethics and Integrity

Posted on 05 Feb 09:40


Capfin is the South African brand of the global Southern View Finance (SVF) group of companies, based in the northern suburbs of the Western Cape. The SVF Group of companies conducts an international unsecured lending business, offering technologically driven, responsible and friendly loan products to the mass market.

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