Junior Legal and Compliance officer

Date: /Category: /by

Our client is an award-winning provider of fund, corporate and private wealth services to institutional and private clients.

Their independence and shared ownership culture means they all share the same priority: the best interests of their clients.

Compliance

  • Expert knowledge and in-depth understanding of CISCA and all the regulations
  • Good understanding of FAIS, 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
  • Review of legal documents with service providers
  • 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

Other                

  • 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
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