UWC graduate appointed to compliance trainee role
03 March 2014 | People and Companies | Appointments | Compli-Serve SA
Compli-Serve SA is pleased to announce that Loren Dickson has joined their Cape Town office as Compliance Officer Trainee. She will undergo a three-year statutory supervision period working under an experienced compliance officer with the aim of developing her skills and qualifying her to work as a fully-fledged compliance officer to service the financial services industry.
Loren joins Compli-Serve SA from the University of the Western Cape (UWC) having been selected from a large pool of applicants. She holds a Bachelor of Commerce (Finance and Investment) and a Regulatory Examination Certificate from the Financial Services Board (FSB). Richard Rattue, Managing Director of Compli-Serve SA, says that Loren was well-prepared and demonstrated that she was the right candidate for the job. "We chose to approach UWC last year to advertise our compliance graduate programme which includes criteria recognised by the FSB. We were specifically looking for a candidate who was interested in a career as a compliance officer in the financial services sector,” he says. "Having received numerous applications, Loren was chosen having met all criteria and completing a case study successfully in her final interview where she demonstrated how she would deal effectively with a complaint lodged against a service provider.”
Loren’s role will be to assist the compliance officer team at Compli-Serve SA including delivering on their annual compliance monitoring plan, maintaining and developing procedures to show adherence with the principles and rules of the FSB, which promote TCF (Treating Customers Fairly)and ensure adherence to Fit & Proper standards. She will assist with compliance audit work, including regular and ad-hoc reviews of direct marketing sales calls and client files. She will also be required to liaise with external compliance officers where requested to do so.
