Our client, an Investment Consultant Company, is looking for a Senior Legal and Compliance Officer to join their team in the Plattekloof, Cape Town, area.
To assist the Head of Governance, Governance Team and External Compliance Officer with group governance risk and compliance.
Areas of Responsibility:
- 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.
- Legal and 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 the business.
- Attend Investment Committee meetings periodically.
- Ad hoc projects.
- 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.
Qualifications and Experience:
- Minimum of 10 years’ experience in a compliance role or a similar role.
- Legal qualifications.
- Expert knowledge in collective investments (CISCA).
- Good understanding of FAIS, POPI and FICA.
Area: Plattekloof, Cape Town.
Salary offered: R66 000 per month (depending on experience and qualifications.
To start as soon as possible.
Please apply online if you meet all the above-mentioned requirements.
Please assume that your application was unsuccessful If you have not been contacted within 4 weeks from the date of this advertisement.