Compliance Executive — Dealer / Broker Licence

Qualifications

• CGI qualification and a degree in Management and/or an LLB.
• Relevant activity licence, such as Dealer or Broker licence, as required.

Experience

• Minimum 1 year of relevant experience in compliance or the financial services sector.

Technical Knowledge & Skills

• Good knowledge of the legal and regulatory framework, compliance procedures and regulatory obligations.
• Ability to monitor compliance with applicable laws, regulations and internal policies.
• Strong analytical and documentation skills.

Management & Interpersonal Skills

• Good communication and organisational skills, with attention to detail.