77 Regulatory Compliance jobs in Cape Town

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

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.

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

• 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.

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.

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.

• 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

• 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

• 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

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:

• Bachelors 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

Are you a seasoned Compliance Officer looking for your next challenge?

Our client is seeking a dedicated and experienced Compliance Officer to join their team. This role is perfect for a professional who is passionate about delivering high-quality compliance and risk management services to financial services clients.

Key Responsibilities:

Deliver outsourced compliance services to independent Financial Services Providers (FSPs) and corporate clients.
Fulfil compliance duties required by legislation such as FAIS, FICA, POPI, the Companies Act, Medical Schemes Act, and the Insurance Act.
Help clients achieve Treating Customers Fairly (TCF) outcomes.
Establish and maintain a culture of compliance by providing a compliance risk framework to clients.
Provide high-quality, personalised, and substantive reports to clients, ensuring all functions meet deadlines and standards set by the Regional Manager.
Contribute positively to the regional team and the company's development and well-being.
Source and onboard new clients.

Qualifications & Experience:

A minimum of 3 years of proven experience in compliance or risk management within the financial services industry.
Must be a registered and approved Compliance Officer with the FSCA (FSB) for at least Category I.
Hold a recognised Legal or Accounting degree, or another qualification from the FSCAs list of approved qualifications for Compliance Officers.
Must have a strong working knowledge of compliance legislation, including FICA and FAIS, with POPI knowledge being an advantage.
Possess an understanding of risk management principles.

Skills & Competencies:

Exceptional verbal and written communication skills.
Ability to work independently and as part of a team, even under pressure.
Proficient presentation skills.

Overview

Job title: Artwork & Packaging Compliance Specialist

Job Location: Western Cape, Cape Town

Deadline: October 14, 2025

• Review all artwork and packaging specifications.
• Ensure compliance with all relevant regulations and internal standards.
• Maintain knowledge of sustainability practices in seafood (SASSI, WWF criteria) and packaging requirements.

• Diploma or BSc in Food Technology.
• Computer literate (MS Office proficiency required).
• Matric certificate.
• HACCP & PRP Certification.
• Food Safety Certification.
• Proven experience in artwork and packaging development / review, preferably in the food or pharmaceutical sector.
• Knowledge of labelling legislation : R146 and NRCS regulations.

• 3–5 years of relevant experience.
• Industry exposure is advantageous.

• Ensure Compliance: Ensure that all artwork and packaging materials comply with regulatory requirements, industry standards, and company policies.
• Collaborate with Teams: Work closely with cross-functional teams including marketing, technical, manufacturing, clients, and suppliers to ensure artwork and packaging materials meet all specifications and are delivered on time.
• Technical Expertise: Provide expert guidance on packaging materials, labelling requirements, and artwork standards.
• Review and Approve Artwork: Ensure accuracy, completeness, and compliance of all artwork with relevant regulations.
• Attention to Detail: Maintain a high level of accuracy and focus under tight deadlines.
• Die-Line Review: Review all packaging die-lines for correctness and suitability.
• Barcode Management: Handle barcode validations, manage open lists, and issue barcodes as required.
• Document Control: Maintain an up-to-date artwork folder, ensuring all documents are current and complete.
• Industry Awareness: Stay informed about industry trends, sustainability best practices, and emerging technologies.
• Spec Review: Conduct regular reviews of packaging and product specifications.

Leading Insurance Company requires a Risk Specialist to assist with coordination, analysis, consolidation, mitigation, and escalation of Third Party Risk Management.

1. Regularly monitor and report on third-party risks, compliance and risk mitigation.
2. Provide technical inputs and support on third-party risk and compliance.
3. Support business projects with technical third-party risk and compliance inputs.

1. Grade 12 / Matric.
2. Tertiary Qualification - Third Party Risk Management Certification / Qualification highly advantageous.
3. Knowledge of Third Party Risk Management principles and practices.
4. Experience with third-party risk management (TPRM) tools.

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