Senior Legal and Compliance Officer

 

Recruiter:

Finovate People

Job Ref:

2477344050

Date posted:

Wednesday, June 15, 2022

Location:

Cape Town, South Africa


JOB SUMMARY:
-

JOB DESCRIPTION:

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.

 


 

 

 

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