109 Ethical Conduct jobs in South Africa

Corporate Governance Officer

Helderberg Personnel 2nd Floor 140 On Main, Twin Oak Towers, 140 Main Rd, Somerset West, Cape Town, 7130

Start Date: 01/05/2025

Job Type: Full-Time

My client, a reputable Accounting firm based in Somerset West, aims to fill the position of Corporate Governance Officer with a suitably qualified and experienced candidate. Experience in an Accounting / Auditing environment will be to your advantage.

Duties & Responsibilities

• Preparing all documentation for and recording of all statutory changes in company registers, such as director amendments, name changes, memorandum of incorporation changes, address amendments, and various share transactions.
• Registering and recording of all companies and close corporation amendments with the CIPC.
• Preparing resolutions for dividends and the filing of dividends tax returns at SARS.
• Liaising with third parties such as CIPC and SARS.
• Conducting research on company legislation.
• Providing comprehensive services in terms of CIPC annual returns for a designated client portfolio.
• Preparing and filing beneficial ownership information of a designated client portfolio at CIPC.
• Preparing of confirmation letters and B-BBEE affidavits for a designated client portfolio.
• Identifying and implementing any relevant statutory changes in terms of client group structures according to the applicable legislative framework.

Requirements

• Relevant tertiary degree in law, business, finance, governance or a related field;
• Professional registration with the Chartered Governance Institute of Southern Africa, or similar, will be advantageous;
• Minimum of two to three years’ experience in a company secretarial / corporate governance services environment, preferably in a similar audit- and accounting firm environment;
• Experience working with boards of directors, senior management and clients directly would be advantageous;
• Knowledge of the Companies Act;
• Technical proficiency in Microsoft Word, Excel and Outlook;
• Fluent in Afrikaans and English;
• Excellent administration and interpersonal skills;
• Understanding of relevant company secretarial software (e.g. Skysec, or Greatsoft) will be advantageous.

Location: 2nd Floor 140 On Main, Twin Oak Towers, 140 Main Rd, Somerset West, Cape Town, 7130

A reputable organization is seeking a talented and experienced Corporate Governance Consultant to join their Cape Town office. The successful applicant will be responsible for providing effective company secretarial services to various stakeholders and ensuring compliance with governance and statutory requirements.

Key Accountabilities / Responsibilities:

• Assist in the management of a portfolio of company secretarial client entities and build strong relationships with clients.
• Prepare, consolidate, and distribute Board, Trust, and subcommittee packs prior to meetings.
• Participate in board meetings, draft minutes, and document action items.
• Prepare and review materials for shareholder's meetings, including circular resolutions and minutes.
• Collaborate with the Board/Shareholders, beneficiaries, auditors, bankers, and lenders as needed.
• Complete and file statutory forms with the relevant regulatory bodies.
• Address day-to-day inquiries from internal teams, financial institutions, auditors, and regulatory authorities.
• Maintain accurate statutory registers and minute books.
• Update and manage electronic company registers and statutory records.
• Assist in organizing annual general meetings and provide relevant documentation to the company secretary.
• Handle ad-hoc administrative tasks, including KYC requests.
• Manage non-executive director fees efficiently.
• Provide general support to the Company Secretary and Corporate Governance Consultants.
• Schedule and convene Trust, Board, and subcommittee meetings effectively.

Key Skills and Experience:

• LLB / BCom Law
• At least two years experience in a corporate/commercial environment, preferably in a legal or company secretarial field.
• Experience in attending board and subcommittee meetings, as well as working with regulatory bodies such as CIPC and the Master of the High Court for Trusts.
• Excellent communication skills to interact with stakeholders at all levels of the organization.
• Proficiency in minute drafting with meticulous attention to detail.
• In-depth understanding of the Companies Act and Trust Property Control Act.

R450,000 per annum- R480,000 per annum

If you meet the above qualifications and are eager to contribute your expertise to a dynamic and professional environment, please submit your application along with your resume and cover letter. Only shortlisted candidates will be contacted for further assessment.

A reputable organization is seeking a talented and experienced Corporate Governance Consultant to join their Cape Town office. The successful applicant will be responsible for providing effective company secretarial services to various stakeholders and ensuring compliance with governance and statutory requirements.

Key Accountabilities / Responsibilities:

• Assist in the management of a portfolio of company secretarial client entities and build strong relationships with clients.
• Prepare, consolidate, and distribute Board, Trust, and subcommittee packs prior to meetings.
• Participate in board meetings, draft minutes, and document action items.
• Prepare and review materials for shareholder's meetings, including circular resolutions and minutes.
• Collaborate with the Board/Shareholders, beneficiaries, auditors, bankers, and lenders as needed.
• Complete and file statutory forms with the relevant regulatory bodies.
• Address day-to-day inquiries from internal teams, financial institutions, auditors, and regulatory authorities.
• Maintain accurate statutory registers and minute books.
• Update and manage electronic company registers and statutory records.
• Assist in organizing annual general meetings and provide relevant documentation to the company secretary.
• Handle ad-hoc administrative tasks, including KYC requests.
• Manage non-executive director fees efficiently.
• Provide general support to the Company Secretary and Corporate Governance Consultants.
• Schedule and convene Trust, Board, and subcommittee meetings effectively.

Key Skills and Experience:

• LLB / BCom Law
• At least two years experience in a corporate/commercial environment, preferably in a legal or company secretarial field.
• Experience in attending board and subcommittee meetings, as well as working with regulatory bodies such as CIPC and the Master of the High Court for Trusts.
• Excellent communication skills to interact with stakeholders at all levels of the organization.
• Proficiency in minute drafting with meticulous attention to detail.
• In-depth understanding of the Companies Act and Trust Property Control Act.

R450,000 per annum - R480,000 per annum

If you meet the above qualifications and are eager to contribute your expertise to a dynamic and professional environment, please submit your application along with your resume and cover letter. Only shortlisted candidates will be contacted for further assessment.

The Key Performance Areas will encompass:

Support and Administration

• Completion of amongst others, form COR 39, and submission to the relevant authorities and relevant documents on behalf of Directors.
• Assist in the provision of good governance support by helping the Board and its committees function effectively and in accordance with their terms of reference and best practice.
• Compile the company registers for directorship meeting attendance, interests, declaration of interests, qualification etc.
• Receives correspondence, sends acknowledgements to sender and drafts responses on behalf of Chair (for sign-off by the Company Secretary).

General Office Management

• Provide administrative support to the Company Secretary, handling of diary, routine and general correspondence where appropriate.
• Draft Board Committee and Exco minutes for submission to the Company Secretary.
• Facilitate of payments of non-executive Directors and independent Board Committee members.
• Arrange all logistics for the governance office, including managing Board calendar, coordinating date of meetings, venue, refreshments and audio-visual equipment and any other arrangements as required
• Screen calls and handle routine telephone enquiries where appropriate, and resolve any arising customer enquiries/concerns.
• File and retrieve documents (electronically, hard copies, and any other approved method) in terms of Records & Document Management Policies and Procedures.
• Organise and attend business unit's and other relevant meetings to ensure recording, dictation, typing of minutes and reports.
• Responsible for co-ordinating procurement processes for the unit, generate orders and facilitate payment of service providers on time upon completion of services rendered or deliverables realised as per SLAs.

Liaison with Management

• Maintain and distribute resolutions/action items to line management following each meeting for implementation.
• Follow up on implementation of required actions and compile governance status report for the attention of the Company Secretary.
• Acknowledge receipt of correspondence from third parties, after perusal and sorting, distribute to the relevant parties.
• Assist other staff members in adhering to regulatory framework in relation to compliance with company policies, SCM, records and document management.

Travel Coordination

• Make travel arrangements and accommodation for the Board of Directors and all staff members within the Unit.
• Maintain a good relationship with the travel agents to ensure improved processes and efficiencies in providing excellent service to the Non-Executive Directors and Board Committee members.
• Coordinate processing of Subsistence andTravel claims in line with the travel policy within the specified time period.

Customer and Stakeholder Management

• Organise and arrange functions/workshops in consultation with relevant stakeholders including travel arrangements, accommodation to ensure the promotion of the corporate image.
• Arrange meeting appointments for the internal and external stakeholders upon request by the unit officials and the Board of Directors.
• Follow-up or confirm attendance with all required attendees of the meeting or function to enhance increased number of attendance.
• Collate relevant information from internal /external stakeholders by ensuring completion of attendance register to facilitate generation of an updated Database for ease of reference.

MINIMUM REQUIREMENTS

• National Diploma in Administration/ Commerce/ Arts
• At least 3 years working experience of which 2 years must be at an executive support, administrative, general office management or related secretariat role.

The Compliance Officer will be responsible for ensuring that Salt EB adheres to all legal and regulatory requirements related to being a financial services and retirement fund administration provider. This includes monitoring compliance with South African financial sector and retirement fund legislation, providing guidance to internal teams, and implementing compliance frameworks to mitigate risks.

Key Responsibilities

• Develop, implement, and maintain compliance policies and procedures in line with the Pension Funds Act, Financial Sector Regulation Act, Financial Advisory and Intermediary Services (FAIS) Act, and other applicable legislation.
• Monitor legislative and regulatory developments affecting the financial services and retirement fund industries and advise stakeholders on compliance obligations.
• Conduct regular compliance audits and risk assessments to ensure adherence to legal and regulatory standards.
• Develop and implement compliance training programs for employees to promote awareness of regulatory requirements.
• Ensure that Salt EB maintains proper records and documentation in compliance with regulatory requirements.
• Act as a liaison between Salt EB and its outsourced compliance consultant (Moonstone), regarding compliance matters.
• Act as a liaison between Salt EB and regulatory bodies, such as the Financial Sector Conduct Authority (FSCA), regarding compliance matters.
• Assist in preparing reports for the Board, senior management, and regulators on compliance-related matters.

Investigate compliance breaches and work with relevant departments to implement corrective actions.

• Support the due diligence process for clients and service providers to ensure compliance with anti-money laundering (AML) and counter-terrorism financing (CTF) regulations.
• Stay updated on industry best practices and emerging compliance risks related to the financial services sector and retirement fund administration.

Qualifications & Skills

• Bachelor’s degree in law, Business Administration, Risk Management, or a related field.
• Registered Compliance Officer (FSCA approval) or relevant compliance certification (e.g., CPrac (SA), CProf (SA), or similar).
• Minimum 3-5 years of experience in compliance, risk management, or regulatory affairs within the retirement fund industry or financial services sector.
• Strong knowledge of South African financial services and retirement fund laws, regulations, and industry standards.
• Excellent analytical, problem-solving, and communication skills.
• Ability to work independently and provide strategic compliance advice to senior management.
• Proficiency in Microsoft Office Suite and compliance management systems.
• Experience working with retirement funds and financial services.
• Familiarity with King IV governance principles and risk management frameworks.
• Strong interpersonal skills to engage with stakeholders at various levels.

Compliance Officer • Johannesburg, South Africa

Reference: PE000172-HP -2

Our Client, a national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs), develops and delivers unique compliance, risk management, practice management, and business intelligence services.

Two vacancies exist within the current structure, which requires an experienced Compliance Officer to be based in the Port Elizabeth and East London offices , respectively.

Reporting to the Regional Manager, performance areas include, but are not limited to:

• To effectively deliver quality compliance and risk management service to our clients at a regional level.
• Adherence to the compliance requirements as dictated by the FSCA.
• To grow the Company's Eastern Cape client base by marketing all the company's services to non-company clients.
• To market all services to the existing company client base.
• To assist the company regionally with Virtual Compliance, Risk Management, Implementation, and other Sales Projects.
• Outsourced compliance function delivered to financial services clients and other FICA-accountable institutions.
• Fulfil compliance function required in terms of FAIS, FICA, and other applicable legislation and business requirements.
• Establish a culture of compliance and provide a compliance risk framework to clients.
• Assist clients to achieve the TCF outcomes.
• Perform all functions to the standard and deadlines set by the Regional Manager.
• Provide clients with high quality, personalised, and substantive reports.
• Include clients in compliance processes and provide post-monitoring feedback.
• Maintain records as required by the business.
• Display behaviour and attitudes which positively contribute to the well-being and development of the regional team, the company, and its clients.
• Sourcing and signing up of new clients.

• Matric essential.
• Tertiary Diploma (minimum of NQF level 5) or Degree in Legal/Accounting/Financial is essential.
• A FSCA (FSB) recognised qualification is advantageous.
• Registered Category I (Category II if possible) Compliance registered Officer with the FSCA.
• Minimum 5 years’ experience in compliance or risk management within the financial services industry.
• A good working knowledge of compliance legislation viz FICA and FAIS.
• Understanding and knowledge of risk management principles.
• Computer literate (MS Office Suite).
• Open to SA citizens with a clear criminal and credit history.
• Valid unendorsed Driver’s License, with own vehicle (preferred).

• Must possess an ownership mentality and a willingness to take responsibility for tasks through to completion.
• Attention to detail, goal-oriented, and a desire to achieve your objectives.
• Highly organised, good at multi-tasking, and able to deal with people at all levels.
• Exceptional verbal and written communication skills.
• Ability to work under pressure, independently, and as part of a team.
• Proficient presentation skills.

Port Elizabeth or East London

Financial Services Industry

3-5+ years

Permanent, full-time

Open

Monday to Friday, 08H00 - 16H30

Market-related basic (Pension Included) + Commission and Annual Performance Bonus.

Shortlisted candidates may be expected to complete and pass assessments before moving to the next stage of the recruitment process.
Should you not be contacted within two weeks, please consider your application unsuccessful.

• Professional certification, such as CCO (Certified Compliance Officer), may be preferred or required
• Strong knowledge of relevant laws, regulations, and standards in food safety
• Ability to analyse complex regulations and identify potential compliance risks.
• Excellent communication and interpersonal skills.
• Ability to develop and implement effective compliance solutions.
• Strong attention to detail and ability to maintain accurate records.

• Monitor and analyse regulations: Stay up to date with changes in laws, regulations, and food standards that affect the organization.
• Develop and implement compliance policies: Create and implement policies and procedures to ensure compliance with relevant regulations.
• Conduct risk assessments: Identify potential compliance risks and develop strategies to mitigate them.
• Train employees: Educate employees on compliance policies and procedures.
• Investigate and respond to compliance issues: Investigate and respond to compliance issues, including conducting internal audits and investigations.
• Collaborate with other departments: Work with other departments, such as legal, risk, health and safety management, and internal audit, to ensure compliance.
• Report to management and regulatory bodies: Provide reports to management and regulatory bodies on compliance issues and progress.

Join a Leading Force in Financial Compliance -
Be the Compliance Officer Who Drives Integrity & Trust in the Financial Services Sector

A trusted name in compliance and risk management, is on the lookout for a dynamic, FSCA-approved Compliance Officer (Category I) to join their Western Cape team. Based in the vibrant hub of Tyger Valley, Cape Town, this is an opportunity to make a meaningful impact across South Africas financial services landscape.

About the Role:

The Compliance Officer will be responsible for delivering expert, outsourced compliance solutions to a portfolio of independent Financial Services Providers (FSPs). This individual will play a key role in embedding a culture of compliance, ensuring regulatory excellence, and strengthening client trust through smart, risk-informed guidance.

From conducting onsite visits to delivering sharp, personalised reports the successful candidate will be the go-to advisor, helping businesses navigate legislation like FAIS, FICA, and Treating Customers Fairly (TCF) requirements with confidence and clarity.

Key Responsibilities
Champion a full-spectrum compliance service in line with FAIS, FICA, and FSCA mandates

Build and nurture relationships with FSPs across the region

Create and maintain compliance risk frameworks tailored to client needs

Conduct compliance monitoring visits and draft high-impact reports

Deliver post-monitoring feedback and offer actionable insights

Maintain detailed compliance records in line with best practices

Play a key role in business development by sourcing and signing new clients

Collaborate closely with the Regional Manager to meet strategic goals

Minimum Requirements
A relevant tertiary qualification in Law, Accounting, or Finance

FSCA-approved Compliance Officer (Category I) status (this is essential)

At least 3 years of hands-on compliance or risk management experience within financial services

Familiarity with Category I FSP operations

A valid drivers license (client travel may be required)

Skills & Competencies
In-depth knowledge of FAIS, FICA, and broader compliance legislation

Strong grasp of risk management principles

Outstanding verbal and written communication

Excellent presentation and interpersonal skills

Self-starter who thrives both independently and within a team

Deadline-driven with a client-first mindset