Senior Legal and Compliance Officer

Recruiter:

Conova Recruitment

Job Ref:

CPT000111/GR

Date posted:

Tuesday, June 21, 2022

Location:

Capetown, South Africa

Salary:

Annually

JOB SUMMARY:
Our client is an award-winning provider of fund, corporate and private wealth services to institutional and private clients.

Their independence and shared ownership culture means they all share the same priority: the best interests of their clients.

JOB DESCRIPTION:

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 & 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 our business
Attend Investment Committee meetings periodically
Ad hoc projects

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

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