127 Compliance jobs in Cape Town

Compliance Manager: Compliance Operations

Cape Town, Western Cape Robert Walters

Posted 22 days ago

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Compliance Manager: Compliance Operations

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Compliance Manager: Compliance Operations

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A prestigious global alternative investment manager is seeking an experienced Compliance Manager for their Compliance Operations function in Cape Town.

This is an exceptional opportunity to join a world-class organisation and global Finance team with a strong presence in private equity, with a network that spans 30 offices worldwide.

The role offers the chance to shape and enhance a unified, scalable platform designed to meet complex global compliance requirements. You will be part of a collaborative and inclusive team, working closely with colleagues across multiple regions and disciplines. With a focus on innovation and automation, this position provides the perfect environment for you to leverage your regulatory expertise while contributing to the integrity and professionalism of the compliance function.

Flexible working opportunities, exposure to international best practices , and ongoing training make this an ideal role for those looking to advance their career in compliance within the financial services sector.

Non-negotiable aspects | NB

  • Strong leadership skills
  • Change management experience
  • An appetite for technology

Key Qualifications And Experience For The Compliance Manager

  • BCom / BBusSci / LLB degree – Minimum requirement
  • Additional Professional qualification in Compliance, Accounting, Law, or Risk Management (Preferred)
  • 8 years'+ relevant experience
  • Proven experience leading regulatory compliance teams within financial organisations such as asset management firms, banks or insurance companies.
  • Showcase prior leadership roles in similar positions within asset management or private markets environments.
  • Possess hands-on experience centralising or integrating multiple compliance systems across large organisations.
  • Display deep understanding of global regulations affecting asset managers including practical application within multi-jurisdictional contexts.
  • Exhibit proficiency using systems such as StarCompliance, Appian workflow tools, as well as KYC screening tools like Dow Jones or ComplyAdvantage.
  • A generalist in compliance, and not a specialist: A broad range of experience, not limited to one specialisation.

Please kin d ly note: The client is not looking for admitted attorneys. This is a Compliance role wthin the Finance function.

Key duties for the Compliance Manager

  • The team is expanding, and this new role will focus on compliance operations, specifically regulated reporting, KYC, and the code of ethics.
  • Assist in building out the team and will have a focus on the code of ethics
  • Looking at global processes and identifying a better way to do things i.e. identify technologies / innovation to make things more efficient.
  • Take ownership of key policies related to information barriers, ethical barriers, and market conduct, ensuring these are effective, up-to-date, and aligned with global standards.
  • Conduct thorough reviews of wall crossing requests, maintaining comprehensive records to ensure transparency and regulatory adherence.
  • Lead onboarding processes for trading counterparties and platforms, ensuring all due diligence requirements are met efficiently.
  • Develop and implement robust policies for information barriers, ethical considerations, wall crosses, fund allocations, and cross-platform activities as new business initiatives arise.
  • Support global compliance teams by reviewing and processing expert networks, maintaining approved lists, evaluating call requests from deal teams, participating in calls when necessary, and escalating issues appropriately.
  • Oversee the onboarding of senior advisers and consultants who may have access to material non-public information (MNPI), ensuring all protocols are strictly followed.
  • Assist in designing and delivering relevant training programmes and guidance materials for employees and senior management on compliance matters.
  • Review and process potential employee conflicts of interest in line with established policies covering personal account dealing, gifts and entertainment, outside business interests, political activity, and contributions.
  • Identify areas of non-compliance related to code of ethics or market conduct policies, escalating concerns to regional Chief Compliance Officers as required.
  • Collaborate with information security and data privacy teams on data loss prevention events while managing fraud reporting channels.
  • Support with CMP testing and assist Compliance teams with updating and managing Governance, Risk and Control system (GRC).
  • Reporting on Code of Ethics to regional leads and Board and committee reporting.
  • Risk assessment reporting
  • Participate in projects to integrate various systems and technologies in place to manage compliance obligations (e.g. MNPI)
  • Support the broader Compliance Operations team initiatives, such as AML and Regulatory Reporting.

Key Skills

  • Adaptability to change
  • Continuous improvement mindset
  • Project management
  • Tech-savvy and strategic thinker
  • Able to work with global teams
  • Excellent written communication skills alongside strong verbal abilities for effective interaction with stakeholders at all levels.
  • Demonstrate advanced digital literacy particularly around extracting, consolidating, and analysing data from disparate sources.
  • Embody a collaborative and inclusive approach with colleagues
  • Maintain meticulous attention to detail while being comfortable operating under time constraints deadlines balancing multiple priorities effectively.
  • Proactive, innovative and self-motivated

What Sets This Company Apart

This organisation stands out as one of the world’s foremost alternative investment managers—renowned for its commitment to excellence, innovation, diversity, and inclusion across all aspects of its operations. With over €200 billion assets under management supported by 30 offices globally it offers unparalleled exposure to international best practices, cutting-edge technology platforms, and sophisticated investment strategies.

Employees benefit from flexible working arrangements, generous training opportunities, and supportive leadership structures that prioritise both personal professional growth. The company’s Cape Town office has rapidly become an integral hub for business operations providing talented professionals like yourself with unique opportunities to collaborate on high-impact projects, influence strategic decision-making, and contribute meaningfully towards shaping future success stories within global finance. Above all you’ll find yourself part of an inclusive team culture where every voice is valued, and every contribution recognised—making this not just another job, but a truly rewarding career move.

What's Next

If you are ready to take your career in compliance operations to new heights within a globally respected financial institution, we encourage you to apply now!

Seniority level
  • Seniority level Mid-Senior level
Employment type
  • Employment type Full-time
Job function
  • Job function Finance and Sales
  • Industries Staffing and Recruiting

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Principal / Senior Legal Advisor Legal Compliance

Cape Town, Western Cape City of Cape Town

Posted 4 days ago

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Job Description

Overview

Job title: Principal / Senior Legal Advisor Legal Compliance

Job Location: Western Cape, Cape Town

Deadline: September 28, 2025

Requirements
  • An LLB degree and admission as an Attorney or Advocate (Passed Bar Examination)
  • Minimum of 5 years (Senior) experience in the relevant legal environment
  • Minimum 8 years (Principal) experience in the relevant legal environment
  • Proven experience within a local government environment will be an added advantage
  • Knowledge of local government legislation, policies and procedures
  • Valid driver’s license
Key Performance Areas
  • Deliver a progressive professional legal service functionality in the office of the City Manager and Executive Committees, Sub Councils, Political Structures and Line Departments
  • Research all relevant legislation, case law and articles to provide sound and up to date advice
  • Draft and provide legal opinions based on findings of research
  • Effective and efficient case management of matters within a set turnaround time
  • Promotion of the City’s legal interests and safeguard it against any undue risk
  • Ensure compliance with applicable legislation, By-laws and Policies of the City
  • Play a more focused and wide-ranging research, problem solving, design and standard setting role
  • Make substantial input and provide direction with regards to Council internal processes, with an impact across the organization.
  • Provide a high-level advisory and consulting service on policy and complex problems
  • Comment on various governance matters, such as contract terminations, declarations, property disposal deviations and contractual agreements.

CLOSING DATE

Categories
  • Law / Legal jobs

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Compliance Officer

Cape Town, Western Cape Network1

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Job Description

We're hiring a Compliance Officer to oversee regulatory compliance across our clients. This role involves advising management on regulatory matters, monitoring legislative changes, and ensuring that our internal processes align with applicable laws and industry standards.

What You'll Do :

  • Compile compliance reports for stakeholders.
  • Implement and maintain the compliance risk and AML monitoring plan.
  • Monitor, interpret, and apply new and existing legislation.
  • Respond to compliance queries and manage related projects.
  • Ensure ongoing FAIS and TCF compliance, including maintaining the required registers and manuals.

What You'll Bring :

  • Legal or Finance Degree
  • Compliance Officer (RE1 certified)
  • Minimum 5 years of experience
  • Experience in financial services
  • Strong knowledge of FICA, FAIS, CISCA, and ASISA codes

Looking to make an impact in a regulatory-focused role? Apply now or reach out to learn more.

Required Experience : Unclear Seniority

Key Skills :

Compliance Management, Risk Management, Financial Services, PCI, Banking, Cost Accounting Standards, Quality Systems, Research Experience, NIST Standards, Securities Law, SOX, ISO 27000

Employment Type : Full-Time

Vacancy : 1

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Compliance Officer

Cape Town, Western Cape Forvis Mazars Group

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Job Title: Compliance Officer

Job Location: Western Cape, Cape Town. Deadline: December 31, 2025. Quick Recommended Links

  • Jobs by Location
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Job Description
  • An opportunity exists at Forvis Mazars Cape Town to provide support to the Quality and Risk Management Department.
  • If you have the right experience, want to work for a key player in the industry and have the drive to succeed and to build the next step in your career, then we would love to hear from you.
Duties and Responsibilities

AML Compliance and KYC Due Diligence :

  • Assist in the management of a shared compliance mailbox (opening, scanning and / or action if necessary; acknowledgment of receipt, distributing mail, keeping records, clearing mailbox, following up).
  • Assist the Compliance Manager with KYC reviews and ongoing due diligence.
  • Assist the Compliance Manager with sanctions screening, PEP reviews and adverse media monitoring.
  • Assist the Compliance Manager to ensure compliance with all local and international AML / CFT / PFT regulations.
  • Knowledge on FIC legislation and FATF standards is pertinent to success in the role.
  • Assist in FIC regulatory reporting and ensure compliance with internal risk frameworks.
  • Provide regular updates to senior management on risk findings and compliance trends.
  • Cross-Division Coordination
  • Work closely with client-facing staff to support risk-based decision in relation to KYC and AML.
  • Assist to maintain strong internal relationships to enhance compliance culture across the organisation.
Minimum Requirements

Education :

  • matric and / or a Compliance Certificate. Certificates preferred : GetSmart Compliance Essential or Compliance Management certification; ACAMS or ICA certification or a similar AML qualification.
  • Degree or Diploma in Compliance Management, Commerce, Law or Administration is advantageous and preferred.

Experience :

  • 3-5 years of experience in a high-pressured compliance environment.
  • Compliance administration experience in banking or the financial service industry is advantageous.

Skills and competencies :

The ideal candidate possesses the following skills and competencies:

  • High attention to detail and ability to meet deadlines in a compliance-driven environment.
  • Repetitive tasks should be approached with consistency and accuracy.
  • Staying informed about the latest laws and regulations affecting the industry i.e. enjoy reading and researching news / media sites.
  • A willingness to collaborate with different departments and build strong relationships to strengthen compliance.
  • An understanding of AML / CFT / PFT regulations and global compliance standards.
  • Experience with KYC, AML, sanctions screening and PEP monitoring.
  • Proactive approach to problem-solving.
  • Ability to work unsupervised.
  • Ability to follow instructions and procedures.
  • Ability to prioritise daily tasks and requests, and management of daily workload to ensure that all tasks are completed for the day.
  • Excellent verbal and written communication.
  • Ability to multi-task.
  • Willingness to work overtime when required.
Closing Date
  • 2025 / 06 / 30

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Compliance Analyst

Bellville, Western Cape Arvo

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Job Description

Our client is seeking a Compliance Analyst to serve as the primary point of contact for all “Know Your Customer” (KYC) requests and provide general compliance support. This role reports to the Head of Compliance and will involve liaising with various internal teams and service providers, handling regulatory matters, and managing compliance documentation and processes.

Key Responsibilities

  • Prepare and maintain the company KYC pack.
  • Respond to KYC requests from local and international service providers.
  • Collate documentation, complete questionnaires, and liaise with internal teams for onboarding forms.
  • Maintain a central KYC database.
  • Conduct KYC screening on new service providers.

Regulatory & Compliance Support

  • Assist with regulatory reports and maintain compliance registers.
  • Coordinate compliance training, declarations, and regulatory filings.
  • Liaise with outsourced compliance officers for regulatory admin matters.
  • Track CPD activities of FAIS representatives.

Administrative & Company Secretarial Support

  • Manage compliance-related data across internal platforms.
  • Maintain records of entities, resolutions, and company documentation.
  • Draft standard resolutions and prepare board / shareholder meeting packs.
  • Support implementation of internal policies and assist with ad hoc compliance tasks.

Requirements

Qualifications

  • Matric
  • Paralegal diploma, law degree, or compliance qualification (e.g., FAIS-approved Compliance Officer)

Experience

  • 3+ years in KYC and AML
  • Familiarity with financial services regulations (local and international)
  • Experience working in a high-pressure, multi-entity environment

Skills & Attributes

  • Strong attention to detail and research skills
  • Excellent admin and communication skills
  • Proactive, adaptable, and able to work independently
  • Proficient in MS Office (Word, Excel, Outlook, PowerPoint)

Salary offered : R30 000-R37 000 CTC per month, depending on experience.

Type : Full time permanent position, based in office.

Please apply online and if you are a suitable candidate, ARVO recruiters will be in contact.

Please consider your application unsuccessful if you are not contacted by ARVO recruiters within 4 weeks of applying.

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Compliance Manager

Cape Town, Western Cape Xcede Group

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Job Description

Compliance Manager

Are you ready to take your compliance expertise to the next level? We're in search of a dynamic Product and Operations focused Compliance Manager to lead the compliance journey towards customer-centric innovation!

About Us:
This exciting Fintech is redefining the way compliance drives innovation. They are a customer-centric, product-led platform with an unstoppable ambition to make a significant impact in the industry.

Experience needed:

  • A successful track record of 5+ years as a Compliance Manager managing and leading a Compliance Team (preferably in the Financial Services/ Payments/ Banking/ Fintech sector)
  • Industry knowledge and experience in Fintech & payments

Strong knowledge of:

  • Financial regulatory regimes including conduct risk, systems and controls and regulatory reporting.
  • South African financial regulation

Bonus points for previous experience in:

  • Scaling compliance in line with company needs and changes to infrastructure
  • Setting up compliance flows for new financial service products
  • Working with product teams/BAs to map compliance impacts and dependencies
  • Query compilation and data analysis.

Your Mission:
As the Compliance Manager, you'll play a pivotal role in revolutionizing the way compliance works in the organization. They need a visionary leader who can apply compliance knowledge directly to their products, ensuring seamless integration without disrupting their groundbreaking advancements.

Collaborative Spirit:
You'll be at the heart of cross-functional collaboration, working hand-in-hand with their Product, Development, Sales, Marketing, Operations, and CX teams. By acquiring a deep understanding of their payments platforms and other systems, you'll apply compliance in a way that speaks directly to their customers' needs.

Customer-Oriented Focus:
In this role, your focus will be on making things happen for their customers while upholding compliance and regulatory requirements. Your strategic guidance will steer their organization on the path of success.

Your Impact:
Lead a team of Compliance & Onboarding Agents and execute compliance strategies to elevate customer account conversion rates. Your contribution will be instrumental in delivering quantifiable value to our customers, shaping the future of the company.

Growth Opportunities:
With a direct reporting line to our Head of Operations, this exciting role opens doors to limitless growth opportunities.

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Compliance Associate

Cape Town, Western Cape Black Pen Recruitment

Posted 4 days ago

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Job Description

Our client is committed to building a financial system that works for all, this includes consumers, merchants, banks, regulators and law enforcement. Fraud and identity are unfortunately still significant challenges for everyone involved in payments and commerce. Our client is committed to combatting this and is building both tools and capabilities to improve its abilities in this space. The Law Enforcement Community (LEC) does a great deal to support the victims of crime and seek out the perpetrators, so our client is looking to build a strong connection with LEC.


Role Overview

The Compliance Associate will play a key role in assisting with the development, implementation, and execution of the risk management and compliance strategy. Through effective collaboration with the Compliance & Regulatory Lead, you will play a key role in solving compliance related issues, and will be responsible for ensuring that our client complies with all relevant regulatory requirements and internal policies.

Job Type: Full time/Permanent

Location: South Africa

Workplace: Hybrid

Requirements

  • Education & Experience – Bachelor’s in Law, Finance, Business (or similar) plus 3+ years’ compliance work in fintech, banking, gaming, or broader financial services.
  • Regulatory Expertise – In-depth grasp of South African payments regulation (FIC Act, POPIA) and hands-on KYC/AML onboarding, periodic reviews, and escalations.
  • Training & Reporting – Proven ability to craft compliance training and produce high-quality regulatory reports (e.g., to the FIC); strong risk-management track record.
  • Technical Skillset – Skilled in designing AML/CTF controls and internal rules; comfortable with data analysis and reporting.
  • Personal Attributes – Integrity, discretion, ownership mindset, and clear communication with clients, merchants, and cross-functional teams.
  • Broader Reg-Framework – Exposure to FAIS, B-BBEE, Card Scheme rules, and SARB TPPP/System-Operator/Screen Scraping directives.
  • Data Analytics Fluency – Comfort with analytics tools/programming for sharper risk insights.
  • Professional Credentials – CAMS or similar AML certification (or willingness to earn).
  • Fintech Product Insight – Working knowledge of payment tech, APIs, and related fintech offerings to spot compliance gaps early.

Responsibilities

  • Merchant Onboarding & Screening – Own the full onboarding workflow: gather documentation, run CDD/EDD checks, maintain screening systems, and escalate high-risk cases.
  • Regulatory Compliance – Monitor regulatory changes, refresh policies and training, and ensure company practices stay aligned with law.
  • Risk Management – Assign merchant risk ratings, update risk registers, run gap analyses, and report breaches to Compliance leadership.
  • Regulatory & Internal Reporting – File mandatory reports (e.g., FIC, SARB) and deliver KYC insights to internal stakeholders.
  • Stakeholder Liaison – Serve as the primary contact for KYC queries from merchants and internal teams.
  • Tech-Driven Controls – Partner with Product/Tech to integrate compliance tools and build SQL-based AML/CTF monitoring rules.
  • Data Protection – Conduct vendor impact assessments and enforce client/vendor adherence to data-privacy obligations.
  • Process & Policy Governance – Document compliance procedures and audit ongoing adherence to internal policies and external requirements.
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Compliance Auditor

Cape Town, Western Cape MBA-Exchange.com

Posted 5 days ago

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Job Description

Overview

takealot.com, a leading South African online retailer, is looking for a highly talented Compliance Auditor to join our Takealot Delivery Team in Kwa-Zulu Natal, reporting to the Regional Franchise Operations Manager. We are a young, dynamic, hyper growth company looking for smart, creative, hard-working people with integrity to join us. We offer a market related, Total Remuneration Package which allows full flexibility according to your needs, a great work environment and a promise that you won’t be bored as long as you are prepared for a challenge and want to build something great.

Responsibilities
  • Franchise Management - Independent Contract (IC) Drivers
  • Conduct in field Driver Shifting Inspection Audits in accordance with the compliance SOP documents
  • Remove Drivers from shift if they are non-compliant and fail the inspection audits conducted
  • Report the results of the inspection audits to Hub Owners, Hub Managers and Franchise Management Team, detailing areas of focus for attention and corrective behavior
  • Report on repeat offenders and institute corrective actions and re-training
  • Pick N Pay Takealot Pickup Point (TPP) - Escalate issues experienced during day-to-day operations
  • Weekly support visits to support improved business operations - act as a consultant to the Pick NPay Store management to drive business success
  • Driving the company policies, procedures and brand standards through regular auditing processes
  • Monitoring and measuring branch performance and productivity against Service Level Agreement’s (SLA’s) through system checks and reports
  • Presenting solutions to solve problems to help drive the momentum and success of the Pick N Pay Takealot Pickup Point customer service offering
  • General - Generate reports on your findings in Excel and PowerPoint (or Google Equivalent)
  • Analyze and report on trends in your areas
  • Hold review meetings with the appropriate/respective management team
  • Review applicable SOPs as they become due for review
  • Monitor compliance with regards to the applicable SOPs
  • Meet Audit KPI’s
  • Support Franchise Managers and Food Compliance Coordinators who are performing audits of their practice in the normal course of their duties
  • Ensure processing, compliance and administration duties are completed accurately and timeously
  • Take responsibility for matters and work assigned tasks
  • Conduct housekeeping audits and any other audits that may be assigned
  • Must be willing and able to work the required days/hours for the role
  • Tuesday to Saturday
  • 11am to 8pm daily
Attributes required
  • Exceptional organizational and compliance and administrative skills
  • Have a keen eye and attention to detail
  • Must be able to work under pressure, being able to manage high workloads from time to time
  • Must be able to think outside of the box and be proactive in your approach to your responsibilities
  • Must be a solutions-oriented and attention to detail individual – qualitatively (written SOPs and email structure) and quantitatively (charts and tables)
  • Strong analytical and critical thinking, using data to interpret and make informed decisions that are pragmatic and operationally practical
  • Ability to present ideas succinctly, both in writing and verbally
  • Versatile and with an appetite to learn from the experience of others and independently through experimentation and research
  • Ability to handle multiple competing priorities in a fast-paced environment, but also maintain a focus on ranked priorities with the highest strategic impact
Minimum qualification and experience requirements
  • Matric (Grade 12)
  • NQF Level 4/ Diploma advantages
  • 1-2 Years’ experience in a supervisory role within a Franchise business and/or hospitality industry
  • Previous operational auditing experience will be advantageous
  • Must be competent in Microsoft Office or Google Equivalent
  • Must have a valid driver’s license.
The Environment
  • takealot.com employees are entrepreneurial and dynamic, smart, customer- centric, fun and have the shared ambition of takealot.com being the leading e- commerce company in Africa.
  • We have fun, work hard, take ownership, work in teams to create solutions, and are always open to direct feedback/new ideas on where we can improve.
  • We are short on ego and high on output.
  • We are doers and not only thinkers, its all in the execution after all.
  • We love what we do and what we are creating.
  • We seek to employ an Extra Ordinary Mind who is Smart, has Integrity, and is Hardworking.

If you meet the above you are an Extraordinary Mind so come and join us!

Takealot Group is an Equal Opportunity Employer. We encourage applicants from the previously disadvantaged groups and people with disabilities, to apply.

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Compliance Specialist

Cape Town, Western Cape Teleperformance

Posted 5 days ago

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Job Description

Overview

The Compliance Specialist will work closely with all stakeholders in their area to ensure effective delivery, deployment and embedding of these standards and processes - as well as the ongoing evaluation of inputs and outputs to ensure high performance across these areas. This role will be fundamental to the successful on boarding of new business, holding shared responsibility for early life performance and warranty period sign-off prior to the Operations colleagues assuming ‘BAU’ responsibility.

Qualifications

Main Job Requirements

  • Versatile learner with the ability to embrace change and enjoy the challenge of developing and implementing best practices
  • Ability to manage extensive amounts of complex information, connect and interrelate disparate ideas and thoughts, pay attention to detail, and work effectively with varying constituencies
  • Demonstrated experience identifying new opportunities, creating best practice products/programs/solutions and driving change and innovation
  • Ability to understand technical / expert jargon and business needs and help bridge communication gaps
  • Excellent leadership and management skills and ability to handle conflict and effectively deliver difficult messages to various levels
  • Superior analytical ability and ability to think creatively while handling difficult and complex issues
  • Strategic and astute commercial thinker with robust and commercially balanced decisionmaking skills and advanced KPI knowledge and understanding
  • Project management and change management skills
  • Facilitation & presentation skills
  • High levels of resilience and focus with continuous improvement mind-set
  • Willing to work nightshift
  • Willing to work rotational weekend shifts
Technical Skills
  • Proficient use of Microsoft Office tools including MS Word, PowerPoint, Excel, Visio and others
  • Ability to use Excel’s advanced analytical tools such as run charts, histograms, pareto charts, scatter plots etc., preferred

Experience required:

  • Matric/Grade 12
  • 1-2 years’ experience as a Compliance Analyst
  • BFSI and financial background
  • Lean Six Sigma certification at Yellow Belt level, preferred.
Responsibilities

Key responsibilities and accountabilities within the role will include:

  • Regularly interact with executive stakeholders share ideas and exchange feedback, reporting on deployment results across their cluster whilst ensuring consistency across the clusters and Geo's
  • Conduct route cause analysis and lead on the creation and monitoring of a recovery plan where they are failings while maintaining a standard of integrity controlling and limiting possible risks while applying a strategic approach.
  • Performs routine in-depth audits of practices and procedures in place, and assesses the outputs to evaluate effectiveness of best practice programmers.
  • Early Life support - working with Project or Programs Manager during on boarding / early life to ensure effective people / process on boarding which in turn will harness a successful delivery against commercial and Operational KPIs.
  • In Life support - working with all in life clients in their sector to benchmark deployment levels across TOPS and BEST, implementing recovery plans were required to ensure alignment to global standards.
  • Ensure to exercise decision-making and independent judgment while being aligned with customers and management.

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Compliance Specialist

Cape Town, Western Cape Rory Mackie & Associates

Posted 14 days ago

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Job Description

Overview

Our client, an independent global asset manager is seeking a Compliance Specialist to join their team. The Compliance team provides advice and support to senior management and the business to help ensure that the activities of the company are at all times conducted within the spirit of all applicable rules and regulations. The Compliance team also conducts ongoing monitoring of business activities to identify, at an early stage, any deviations from procedures or any issues that may breach the letter or spirit of applicable rules and regulations. The global team consists of 37 persons based in London, Cape Town, Guernsey, Luxembourg, New York, Hong Kong and Singapore. The team is diverse and management encourages cross regional participation and collaboration.

Responsibilities
  • Regulatory Compliance Advisory (FAIS, CISCA and Related Frameworks)
    • Provide subject matter expertise on regulatory requirements arising from the FAIS Act, CISCA, FICA, Regulation 28 and applicable Board Notices and subordinate legislation
    • Assess and interpret proposed or amended regulation, participate in industry working groups, and provide detailed feedback on business impacts
    • Support new product and business change initiatives by evaluating compliance requirements across FSP categories I, II and III and CIS Management Companies
    • Provide guidance on internal controls, policies and procedures that reflect regulatory expectations and practical implementation
  • Compliance Monitoring, Risk Management and Automation
    • Provide subject matter expertise and oversight support to the Compliance Monitoring Team and relevant SMEs in the development and maintenance of Compliance Risk Management Plans (CRMPs) and Compliance Monitoring Plans (CMPs)
    • Ensure the adequacy, accuracy and regulatory alignment of CRMPs and CMPs through expert input and cross-review, particularly in areas relating to FAIS, CISCA and investment compliance risks
    • Collaborate with the Monitoring Team to analyse and interpret breach trends and risk themes emerging from monitoring activities, providing regulatory context and escalation where required
    • Champion opportunities for improved compliance monitoring through automation, system enhancements and process refinement
  • Internal Reporting, Governance and Integration Projects
    • Prepare high-quality reports for governance forums including Boards
    • Monitor developments impacting licensed entities and ensure reporting frameworks meet all regulatory reporting obligations
    • Support regulatory inspections and internal/external audit engagements
  • Stakeholder Engagement
    • Engage effectively with Legal, Investment, Product, Risk and Operations Teams, offering practical guidance on complex regulatory queries
    • Maintain relationships with external stakeholders including Industry Bodies and Regulators
    • Represent Compliance in internal working groups and external industry forums, ensuring alignment with regulatory direction and industry best practice
Requirements
  • Bachelor's degree in law, Business, or a related field
  • Regulatory Certifications: RE1, RE3 and RE4
  • CPrac (SA) designation or equivalent preferred
  • 8-10 years’ experience in financial services compliance with a strong focus on asset management
  • Demonstrable experience advising on and implementing compliance frameworks under FAIS, CISCA, FICA and related laws
  • Proven background in implementing monitoring frameworks and supporting regulatory engagement
  • Advanced analytical, reporting and legislative interpretation skills
  • Strong verbal and written communication abilities, including report drafting for executive audiences
  • Familiarity with compliance system implementation and data driven compliance reporting
  • Ability to build strong cross-functional relationships and support business delivery through sound compliance advice
Skills and Attributes
  • The ability to ‘approach and own’ and continuously look for opportunities to develop
  • Driven by results
  • Intellectual curiosity
  • High conviction and be comfortable sharing opinions
  • Ability to analyse, interpret and assimilate information

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