Genesis Capital (Pty) Ltd are looking for a Compliance Officer, to start as soon as possible.


Requirements of the job:


•             Monitoring.

•             Reporting.

•             Compliance consulting/advising .

·                    Review and keep up to date with regulatory changes.

•             Policy/procedure drafting.

·                    Disclosure drafting.

·                    FAIS Enquiries.



•             Consulting/advising .

·                    Review legislative changes.

•             Legal.

·                    Drafting agreements.

·                    Mandates.

·                    Drafting NDA’s, Non Circumvention, Cession, Delegation, Indemnities, disclaimers, letters.

·                    Dealing with external companies – e.g. – Neotel, Acc Fin, Liberty.


General Corporate Governance

·                     Finalising back end of corporate agreements.

·                     Finance.

·                     Risk Management framework.


Ad Hoc

•             Disciplinary hearing (Chairing).

•             Disciplinary investigations.

•             Public media screening, e.g. –

Ø  Advertising/Brochures.

Ø  Websites.

•             Company secretarial – When documents are required by other providers.

•             Complaints handling –complaints, Long term/Ombud/FAIS/Short term/Pension Funds Adjudicator.

·                    Transfer of business.

•             Ensure that providers are authorised before entering into business.

·                    Contract screening before contracts are entered into.

·                    Viability of new ideas by brokers, e.g. – Astute valid for one year.



•             Financials – Assist with submission.

·                    Professional Indemnity.

·                    Intellectual Property – As and when required.

•             Regulatory contact and profile changes, e.g. KI’s, Reps.

·                    Ombud contact.

·                    Moonstone contact.

·                    FIC contact.

•             Fund approval.

•             New FSB license applications.

·                    Other Regulator license/approval.

Ø  Credit Providers Association.


Ø  CPD Provider.



Training/Fit & Proper

•             Compliance Training.

Ø  New Staff.

Ø  Refresher.

Ø  Updated compliance and/or documents.

•             Regulatory Training.


Ø    RE.

•             Fit and proper screening of staff before employed.

•             When employed

Ø  Advise staff on requirement.

Ø  Advise staff on options to meet requirement.



·                    Creating/merging registers.

·                    Compliance manuals.

•             Screen call recordings for non-advisory staff.

•             Persistency.

·                    Monitor registers.

Ø  Complaints.

Ø  Conflict of interest/gift register.

Ø  Opt-out.



·                     Regulator Communication.

·                     Traders report to CO.

·                     Settlement Officer report to CO.

·                     Setting up Mandates.


The personality traits we are looking for, for this position are:

 Ability to make high level sound decisions,  very high attention to detail, able to work independently, but also be consultative, team player, good problem solving skills, proven track record.


The qualifications/experience required are:

FSB approved Compliance Officer,  completed RE, 5 - 10 years relevant experience.


Salary: Negotiable.


Cut off date for applications: 06 January 2017.


Please send applications (CV plus Qualifications) to and  Please indicate that you are responding to this advertisement.