Compliance Officer

The purpose of this role is to assist the Head of Governance, Governance Team and External Compliance Officer with group governance, risk and compliance.


  • Expert knowledge of FAIS and CISCA and all the regulations
  • Good understanding of FICA and POPIA
  • Good understanding of FX
  • Assist in implementing and maintaining Policies
  • Assist with mandate compliance and mandate monitoring
  • Analysis and implementation of regulatory changes
  • Assist in the implementation of new legislative requirements
  • Provide training or prepare material on regulatory changes
  • Review of Investment Partner FAIS documents
  • Assist with Representative and KI applications
  • Assist with FSP applications

Technical support

  • Legal & Technical query management
  • Second pair of eyes on all agreements
  • Second pair of eyes on all policies


  • Must be able to prepare and deliver presentations on topics such as changes in regulations or new developments which impact on our business
  • Attend Investment Committee meetings periodically
  • Ad hoc projects

The ideal candidate will tick the following boxes:

Excellent interpersonal skills – must be comfortable presenting to groups
Team player
Good attention to detail
Excellent operational efficiency
Personal accountability
Be able to multi-task

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