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Key Individual (VS 09)/Sleutel Individu (VS 09)

Werkie
2 days ago
Full-time
Remote
South Africa
R15,000 - R15,000 ZAR monthly
GoHighLevel (HighLevel)

Introduction / Inleiding

Our client is looking for a highly experienced and regulatory-compliant Key Individual to oversee financial services activities relating to derivative instruments, crypto assets, and forex investment products. This role is critical in ensuring strict regulatory governance, operational oversight, and compliance with all applicable financial services legislation and regulatory directives.

More About The Company:
Our client operates within the financial services and investment regulatory environment, providing professional oversight and compliance-driven financial solutions across investment product categories. The organisation operates with high ethical standards, strong governance principles, and a focus on regulatory integrity.

Location: Remote

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Ons kliënt is op soek na ’n hoogs ervare en regulatoriese voldoeningsgedrewe Sleutel Individu om toesig te hou oor finansiële dienste-aktiwiteite wat verband hou met afgeleide instrumente, kripto-bates en forex-beleggingsprodukte. Hierdie rol is krities om regulatoriese bestuur, operasionele toesig en nakoming van alle toepaslike finansiële wetgewing en regulatoriese vereistes te verseker.

Meer oor die Maatskappy:
Ons kliënt funksioneer binne die finansiële dienste- en beleggingsreguleringsomgewing en bied professionele toesig- en nakomingsgedrewe finansiële oplossings oor beleggingsprodukte. Die organisasie werk volgens hoë etiese standaarde, sterk bestuursbeginsels en fokus op regulatoriese integriteit.

Ligging: Remote

Key Responsibilities / Seutel Verantwoordelikhede

· Regulatory Oversight & Compliance Management: Ensure all advisory and intermediary services comply with FAIS Act requirements and Fit and Proper standards.
· Oversee RMCP implementation, compliance monitoring programmes, and internal control frameworks.
· Liaise with FSCA and external compliance officers where required.
· Ensure compliance with FIC Act AML/CFT requirements for crypto and financial transactions.
· Product Governance & Risk Oversight: Conduct product due diligence on derivatives, crypto assets, structured products, and forex instruments.
· Monitor risk exposure including volatility, liquidity, leverage, and counterparty risks.
· Ensure clear, fair, and non-misleading risk disclosures.
· Advice & Intermediary Supervision: Supervise representatives providing financial advice.
· Review advice frameworks, suitability assessments, and client onboarding processes.
· Ensure representatives maintain competency, CPD, and Class of Business compliance.
· Operational Oversight: Manage relationships with liquidity providers, crypto exchanges, OTC providers, and product issuers.
· Strategic & Governance Responsibilities: Contribute to strategic growth and market expansion planning.

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· Regulatoriese Toesig en Nakomingsbestuur: Verseker dat alle advies- en tussengangerdienste aan FAIS-wetgewing en Fit and Proper vereistes voldoen.
· Hou toesig oor RMCP-implementering, nakomingsmoniteringprogramme en interne beheerraamwerke.
· Skakel met FSCA en eksterne nakomingsbeamptes waar nodig.
· Verseker nakoming van FIC-wet AML/CFT vereistes vir kripto- en finansiële transaksies.
· Produkbestuur en Risikotoesig: Doen produkondersoeke op afgeleide instrumente, kripto-bates en forexprodukte.
· Monitor risiko blootstelling insluitend wisselvalligheid, likwiditeit, en benut teenparty-risiko’s.
· Verseker duidelike en eerlike risikobekendmakings.
· Advies en Tussenganger Toesig: Hou toesig oor verteenwoordigers wat finansiële advies lewer.
· Hersien adviesraamwerke, geskiktheidsbeoordelings en kliëntaanboordprosesse.
· Verseker bevoegdheid, CPD en Klaskursusnakoming.
· Operasionele Toesig: Bestuur verhoudings met likwiditeitsverskaffers, kripto-beurse en ODP-verskaffers.
· Strategiese en Bestuursverantwoordelikhede: Dra by tot strategiese groei en markuitbreidingsbeplanning.

Minimum Requirements / Minimum Vereistes

· Prior FSCA approval as a Key Individual OR minimum 2 years demonstrable experience in Derivative instruments, Forex Investments and/or Crypto asset markets as a representative.
· RE 1 and RE 5 regulatory examinations completed.
· Qualifications listed on the FSCA recognised qualifications list applicable to Derivative Instruments, Forex Investments.
· Valid Class of Business certificates.
· Strong knowledge of financial regulatory frameworks.
· Ability to work across different time zones when required.

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· Vooraf FSCA goedkeuring as Sleutel Individu OF tenminste 2 jaar ervaring in derivatiewe instrument, Forex- of Kripto-bate markte as verteenwoordiger.
· RE 1 en RE 5 regulatoriese eksamens voltooi.
· Kwalifikasies op die FSCA erkende kwalifikasielys.
· Geldige klas van besigheidsertifikate.
· Sterk kennis van finansiële reguleringsraamwerke.
· Vermoë om oor verskillende tydsones te werk indien nodig.

Salary / Salaris

From R15 000 per FSP per month

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Vanaf R15 000 per FSP per maand