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FAIS / Conduct Compliance Manager

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Citi

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Location:
South Africa , Johannesburg

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Category:
Finance

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

Citi’s Global Legal Affairs and Compliance (GLAC) empowers and protects Citi by providing legal, compliance, investigative, and security services to our firm. We manage compliance risk, provide legal analysis and advice, protect Citi’s people and businesses, advocate for legal and regulatory outcomes that benefit our firm and our clients, and ultimately promote behavior that is consistent with Citi’s mission and culture.

Job Responsibility:

  • Monitor and interpret applicable legislation and regulatory requirements (including FAIS, FICA, TCF, POPIA, COFI, and related frameworks)
  • Develop, implement, and maintain compliance risk management frameworks, policies, and procedures
  • Conduct periodic compliance risk assessments and report findings to management and the board
  • Provide advisory support to business units on FAIS-related obligations and customer conduct requirements
  • Ensure that representatives and key individuals are fit and proper in terms of FAIS requirements
  • Facilitate FAIS licensing applications, amendments, debarments, and regulatory reporting to the FSCA
  • Coordinate and oversee the RE exams, CPD tracking, and ongoing competence of representatives and key individuals
  • Manage the Treating Customers Fairly (TCF) framework and assist in embedding a strong conduct culture
  • Perform compliance monitoring reviews, investigations, and root cause analysis of conduct breaches
  • Liaise with internal and external stakeholders including the FSCA, compliance network groups, and auditors
  • Prepare and submit regulatory returns and reports in line with prescribed deadlines

Requirements:

  • Bachelor’s Degree in Law, Commerce, Risk Management, or a related field
  • Registered Compliance Officer with the FSCA (advantageous)
  • Minimum 3–5 years’ experience in a FAIS compliance role within the financial services industry
  • In-depth understanding of the FAIS Act, FSRA, FICA, TCF, and other applicable regulatory requirements
  • Experience in liaising with the FSCA and other regulators
  • Advanced analytical skills
  • Proficient in Excel and Word – ability to learn multiple system applications quickly
  • Commitment to co-operative and collaborative working environment, requiring an innovative approach to meeting sometimes challenging demands
  • Ability to work individually and in Global and Regional teams on all aspects of AML and Compliance
  • Ability to communicate with and present to all levels of staff particularly Senior Management
What we offer:
  • Opportunity to work with Citi’s compliance team, regionally and globally
  • Comprehensive training in general compliance
  • Exposure to Regulators, engagement with Business teams
  • Candidate will interact with Regulators and our regional hubs and will have exposure to senior management within the country
  • The role will cover all Citi businesses, providing opportunities to learn more about the product areas

Additional Information:

Job Posted:
April 24, 2025

Employment Type:
Fulltime
Work Type:
Hybrid work
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