SENIOR COMPLIANCE OFFICER - INVESTMENT & FUND MANAGEMENT

SUMMARY:
SENIOR COMPLIANCE OFFICER - INVESTMENT & FUND MANAGEMENT Cape Town, Western Cape (Southern Suburbs)

POSITION INFO:
SENIOR COMPLIANCE OFFICER - INVESTMENT & FUND MANAGEMENT Cape Town, Western Cape (Southern Suburbs) Competitive Package on Offer! Our Client, a Global Investment Firm is seeking an experienced Senior Compliance Officer to join their growing international team, based in Cape Town. This is an exciting opportunity for an experienced compliance professional to play a key role in supporting and strengthening the organisation's compliance framework, regulatory governance and integrity risk management across its investment operations. Reporting to the Compliance Manager, the successful incumbent will have primary responsibility for supporting the South African and Namibian funds, while contributing to the broader global compliance function. The role will involve providing practical, risk-based compliance advice and oversight, interpreting and applying relevant financial services legislation and regulatory requirements, identifying and managing compliance risks and supporting the ongoing development and implementation of compliance policies, procedures, controls and monitoring frameworks. We are looking for a confident and commercially minded compliance professional with strong regulatory knowledge, sound judgement and the ability to engage effectively with senior stakeholders, constructively challenge where necessary as well as operate independently within an international business environment. Key Duties & Responsibilities Provide senior compliance advice and oversight across the business, with a particular focus on South African and Namibian regulatory obligations, governance requirements and conduct expectations. Interpret and apply relevant South African financial services legislation, FSCA requirements, FAIS regulations, licence conditions and supervisory expectations. Support the development, implementation and maintenance of compliance frameworks, policies, procedures, controls, registers and governance processes. Identify, assess, document and escalate compliance and integrity risks, including conflicts of interest, market conduct, anti-bribery and corruption, data protection and cross-border regulatory considerations. Design and conduct risk-based compliance monitoring, testing and assurance activities, ensuring findings and remediation actions are appropriately tracked through to completion. Monitor regulatory developments and support regulatory change management, including assessing the impact of new and amended legislation and coordinating implementation activities. Support regulatory interactions, industry body engagement and the preparation of regulatory responses, notifications and submissions where required. Prepare compliance reports, regulatory updates, monitoring results and management information for senior management, Boards and relevant governance committees. Build and maintain effective relationships with local and international management, business teams, internal audit, external advisers and regulatory stakeholders. Provide practical compliance guidance, constructively challenging business decisions and practices where potential compliance or conduct risks are identified. Promote a strong compliance culture through awareness initiatives, training, coaching and ongoing guidance to the business. Contribute to the continuous improvement of compliance processes, systems, controls and reporting, including the responsible use of technology-enabled compliance tools. Qualifications, Experience & Skillset A relevant degree in Law, Commerce, Risk Management, Compliance, Finance, Accounting or a related discipline. A recognised compliance, risk, legal or governance qualification would be advantageous. Approximately 8-10 years' experience in compliance, risk, legal, governance or regulatory roles, including at least 5 years within financial services, asset management, investment management or another regulated environment. Completed relevant FAIS\/FSCA training and requirements necessary for registration against a fund management licence. Strong working knowledge of South African financial services legislation, FSCA requirements, FAIS regulations, licence conditions and regulatory expectations. Demonstrated experience advising on compliance matters and implementing compliance frameworks, policies, procedures and internal controls. Experience in compliance risk assessments, regulatory monitoring, testing, governance and reporting. A good understanding of investment management and fund management compliance requirements. Knowledge of integrity risk, anti-bribery and corruption, conflicts of interest, market conduct and data protection. Experience with cross-border regulatory environments, particularly Namibia or other international jurisdictions, would be advantageous. AML\/CFT and KYC exposure would be beneficial. Excellent communication, stakeholder engagement and relationship-building skills, with the confidence to engage and constructively challenge senior stakeholders. Strong analytical skills, attention to detail, independence, professional integrity and the ability to work effectively within a fast-paced, international environment. If you are an