Business Operations – Legal, Tax and Compliance


 Generally, assist the Board with operational management of the business, staff, cultural development and transformation objectives.

  • Take responsibility for the legal environment, including the review and organization of legal documentation and review of the company’s tax situation in various jurisdictions. External counsel should be used as appropriate. This includes, but is not limited to:
    1. Legal entity review, documentation & maintenance;
    2. New deal/partnership/corporate action negotiation including fund documentation and segregated mandates;
    3. Shareholder matters & related corporate secretarial affairs;
    4. Service provider contracts;
    5. Various other agreements including commission sharing and non-disclosure agreements;
    6. Taxation of company entities including tax returns; dealing with outsourced providers; appropriate maintenance of tax status e.g. onshore/offshore, transfer pricing, etc
    7. Limited taxation, legal advice for employees & shareholders
  • Company-wide compliance with applicable regulation locally and abroad, including but not limited to:
    1. Market/trading/investment compliance – market abuse, insider trading, pre-trade compliance procedures, restricted list, etc;
    2. Financial regulatory compliance – FSCA, FSA, BVI, Cayman, Mauritius, CISCA, etc;
    3. Maintenance of the relationship with outsourced compliance providers;
    4. Management, review and updating of all policies, procedures and manuals;
    5. Conducting compliance training as and when required, including maintenance of CPD records;
    6. Potential implementation of a compliance system and calendar;
    7. Overseeing various applications and reporting to local and offshore regulators (new funds, amalgamations, amendments etc).
  • Monitoring, maintenance, compliance with respect to the company’s B-BBEE status including dealing with outsourced service-providers.

Intra-office travel expected, where relevant, to become integrated with the broader team and operational processes.

Minimum Qualifications and Experience:

  • Qualified lawyer (LLB) with 5+ years relevant experience
  • Additional finance & tax qualifications preferable
  • Excellent capital markets general knowledge.
  • Relevant demonstrable experience required.
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