Legal Specialist | Cape Town

SUMMARY:
Legal Specialist | Cape Town

POSITION INFO:

Our Client, based in Claremont, is on the hunt for an accomplished Legal Specialist to join this esteemed independent asset management and investment research group specialising in Global Investment Strategies and Asset Management Services with a focus on multi-generational capital preservation.


Responsibilities

• Review 3rd Party Agreements
• Assisting with the establishment and operation of investment funds
• Reviewing different fund Prospectuses
• Implementing Compliance and Risk Procedures
• The company and Client Company Secretarial
• Risk
• Compliance

• FIC requirements

Knowledgeable in regards to the FIC Act, related legislations and regulations
Ability to work through regulations etc to draft policies and implement in the business and keep up to date on changes
Understand and know the reporting requirements
Submissions and liaison with the FIC
Ensuring implementation and monitoring of RMCP
Monitoring, updating and implementing KYC processes
Draft documents and process when necessary
Acting as FICA compliance officer
Provide in-house training

• POPIA requirements

Knowledgeable in regards to the POPI Act and PAI Act, related legislations and regulations
Ability to work through GN, regulations etc and draft or amend policies when necessary to keep up to date on changes
Ensuring implementation, monitoring and updating of POPIA plans and processes and PAIA manual
Acting as Information Officer
Submissions and liaison with the Information Regulator
Deal with requests in terms of POPIA and PAIA
Deal with and investigate data breaches/security compromises and submitting notifications in terms thereof
Draft documents necessary in terms of POPIA and ensure clients receive the necessary information and for internal processes.
Track acceptance or non-acceptance in terms of POPIA requests.

• FAIS compliance

Liaison with external compliance officer
Implement internal compliance requirements
Ensuring requirements are met
Ensuring record of advice is kept and samples “audited” regularly (client file sampling to ensure adherence to requirements)
Understanding of FAIS act and related legislation will be an advantage

Requirements

• Tertiary Degree, with qualification in Law
• 3-5 years experience in Financial Services industry
• A hard working individual with strong verbal and written communication skills

NB! This job is now closed. You can apply for other jobs by uploading your CV.