Compliance Analyst

• Grade 12 / Matric / NQF level 4 in management sciences (FICA / KYC)
• 2- 5 years of relevant experience

• Understand and apply all relevant regulatory/statutory requirements such as the FIC Act, FICA, etc
• Receive KYC (Know Your Client), NBI (New Business Intake) and LPA (Legal Practice Act) requests from the dashboard and update processing actions
• Analyse details provided on firm questionnaire for FICA purposes, and utilise relevant sources to search and verify.
• Check to ensure that all relevant supporting documentation has been provided
• Process confirmations of ultimate beneficial owner/s, PEP, adverse information and analyse information (both provided and researched) to determine the level of risk to the firm
• Respond to and resolve all general and system queries in relation to FICA requirements timeously.
• Monitor alerts and reports received on an ongoing basis
• Maintain and file documents on a central database including engagement letters and compliance memos accordingly
• Responsible for linking client codes to matters and managing the linking of lead matters in the system as per instructions received

• Analysis
• Compliance
• FICA
• KYC
• Risk assessments