Senior Legal and Compliance Officer

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.

Job Description:

To assist the Head of Governance, Governance Team and External Compliance Officer with group governance risk and compliance.

Areas of Responsibility:

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 and 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 the business.
• Attend Investment Committee meetings periodically.
• Ad hoc projects.

Skills required:

• 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.

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.