Senior Legal and Compliance Officer

This role, based in Cape Town, is to assist the Head of Governance, Governance Team and External Compliance Officer with group governance risk and compliance.

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 periodically
  • Ad hoc projects

The ideal candidate will have:

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

 

Min 10 years’ experience in a compliance role or similar role.

Legal qualifications

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