Job Description

9655//Cape Town//
R HIGHLY NEGOTIABLE PLUS ANNUAL PERFORMANCE BONUS
Our client began as a small start-up based in South Africa offering domestic investment strategies. They offer distinctive investment strategies spanning equities, fixed income, multi-asset, alternatives and sustainability to help institutional investors, those advising others and individuals navigate an ever-changing world. All the employees have the opportunity to own part of the firm. They also have their founding leadership in place. The distinctive owner culture allows them to commit to building a long-term, inter-generational business. It supports a business fully aligned with their clients' long-term investment objectives. The company is a global investment manager driven by people who value the power of performance and relationships. They have grown the firm since its founding, in 1991, on the bedrock combination of these two qualities. They are looking for like-minded people to join them - strong performers who create strong relationships. They are active investors.
They now seek 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 letter and spirit of all applicable rules and regulations. The team also performs on-going monitoring of business activities with the aim of identifying early any departures from procedures or any matters that could be deemed as straying from the letter or spirit of the 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.
JOB DESCRIPTION WILL INCLUDE BUT NOT BE LIMITED TO:

• You will be required to regulatory compliance advisory (FAIS, CISCA and related frameworks):

• You will be required to provide subject matter expertise on regulatory requirements arising from the FAIS Act, CISCA, FICA, Regulation 28 and applicable board notices and subordinate legislation;
• You will be required to assess and interpret proposed or amended regulation, participate in industry working groups and provide detailed feedback on business impacts;
• You will be required to support new product and business change initiatives by evaluating compliance requirements across FSP categories I, II and III and CIS management companies;
• You will be required to provide guidance on internal controls, policies and procedures that reflect regulatory expectations and practical implementation;
• Compliance monitoring, risk management and automation:

• You will be required to provide subject matter expertise and oversight support to the compliance monitoring team and relevant SME's in the development and maintenance of compliance risk management plans (CRMP's) and compliance monitoring plans (CMP's)
• You will be required to ensure the adequacy, accuracy and regulatory alignment of CRMP's and CMP's through expert input and cross-review, particularly in areas relating to FAIS, CISCA and investment compliance risks;
• You will be required to 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;
• You will be required to champion opportunities for improved compliance monitoring through automation, system enhancements and process refinement;
• Internal reporting, governance and integration projects:

• You will be required to prepare high-quality reports for governance forums including boards;
• You will be required to monitor developments impacting licensed entities and ensure reporting frameworks meet all regulatory reporting obligations;
• You will be required to support regulatory inspections and internal/external audit engagements;
• Stakeholder engagement:

• You will be required to engage effectively with legal, investment, product, risk and operations teams, offering practical guidance on complex regulatory queries;
• You will be required to maintain relationships with external stakeholders including Industry bodies and regulators;
• You will be required to represent compliance in internal working groups and external industry forums, ensuring alignment with regulatory direction and industry best practice.

CORE COMPETENCIES REQUIRED, BUT NOT LIMITED TO:

• You have excellent communication (verbal and written) skills in English, including report drafting for executive audiences;
• You have the ability to 'approach and own' and continuously look for opportunities to develop;
• You are driven by results;
• You have intellectual curiosity;
• You have high conviction and be comfortable sharing opinions;
• You have the ability to analyse, interpret and assimilate information.

CORE QUALIFICATIONS AND EXPERIENCE:

• You have a bachelor's in law, business, or a related field;
• You have regulatory certifications: RE1, RE3 and RE4;
• You have CPrac (SA) designation or equivalent - this is preferred;
• You have a minimum of 8 - 10 years' current, relevant experience in financial services compliance with a strong focus on asset management;
• You have demonstrable experience advising on and implementing compliance frameworks under FAIS, CISCA, FICA and related laws;
• You have a proven background in implementing monitoring frameworks and supporting regulatory engagement;
• You have advanced analytical, reporting and legislative interpretation skills;
• You have familiarity with compliance system implementation and data driven compliance reporting;
• You have the ability to build strong cross-functional relationships and support business delivery through sound compliance advice.