Head of Legal, Governance, Risk and Compliance – Investment Company Northern Suburbs CT
Our client, an Investment company based in Northern Suburbs of Cape Town, is seeking a Head of Legal, Governance, Risk and Compliance to join their team. The purpose of the role is to manage the Governance Team and the relationship with External Compliance Officer and be responsible for the group legal, governance risk and compliance.
Key Responsibilities:
Compliance
- Expert knowledge and in-depth understanding of CISCA and all the regulations
- Good understanding of FAIS, FICA, FSRA and POPIA
- Good understanding of COFI Bill
- 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
- Write technical notes to assist partners and staff, where applicable,
- Review of Investment Partner FAIS documents
- Review of legal documents with service providers
Technical support
- Legal & Technical query management
- Second pair of eyes on all agreements
- Second pair of eyes on all policies
Other
- Manage and develop the Governance Team
- Must be able to prepare and deliver presentations on topics such as changes in regulations or new developments which impact the business
- Attend Investment Committee meetings periodically
Qualifications, Experience and Skills:
- Min 10 years’ experience in a compliance role or similar role.
- Legal qualifications
- FSCA and ASISA contacts an advantage
- Excellent interpersonal skills – must be comfortable presenting to groups
- Team player
- Excellent attention to detail
- Excellent operational efficiency
- Personal accountability
- Hardworking
- Positive
- Be able to multi-task
