Who We Are
The Compliance ToolBox (Pty) Ltd (‘CTB’) was founded in 2003. We are a dynamic and established compliance practice with over 70 years accumulated experience in the South African Financial Services Industry.
Although based in Gauteng, we assist a multitude of clients across South Africa within major cities and surrounds.
Having spent a number of years in private practice, our compliance officers have a wealth of understanding and experience with the intricacies of running a successful and compliant FSP.
Our compliance officers are registered with the Compliance Institute of South Africa and continually further their knowledge and understanding in their respective fields through seminars, workshops, courses and examinations.
Our trainers have twenty years of training experience (including train the trainer), are independent assessors for a large tertiary institution and are certified with Inseta, BankSeta, PSeta and CISA.
What We Do
We offer outsourced regulatory compliance services to licenced and independent financial service providers.
Our primary services include compliance risk management, statutory compliance monitoring/reporting, annual financial statement submissions, licencing profile changes, licence applications/facilitation, representative monitoring, compliance/representative training, compliance advisory services, ombud complaints support and consulting.
Our team comprises Compliance, Licencing, Training and Consulting Departments respectively. Each Department consists of dedicated staff members offering efficient, high quality service.
We are a level 4 B-BBEE contributor and an empowering supplier in terms of the DTI’s codes of Good Practice.
Our philosophy is one of simplicity, efficiency and professionalism.
The onus of conforming to strict compliance requirements in the financial services industry can be a very daunting and time-consuming function within any FSP. The industry is ever-changing which in itself can lead to a host of uncertainties and challenges. That is where we come in. With our specialist knowledge and expertise we assist clients by offering custom tailored compliance solutions.
As a small institution we are able to resolve our clients’ requests with efficiency and priority. We take a proactive approach to reducing and mitigating the risk of our clients.
Owing to the administrative nature of compliance in financial services, our team has partnered with a software solution developer to create an innovative, paperless, industry-first online compliance software solution. The software allows us to mitigate clients’ risk, track their progress, record and store key documents and data, monitor and regulate the activities of representatives, see a holistic view of an FSP’s compliance footprint, track and compare compliance scores and ratings, detect, predict and prevent irregularities and more.
Want to know more? Contact Us