Compliance Officer (Senior)

Network Recruitment; Cape Town; On-site; ZAR 200,000 - 300,000; Full time

Job summary

A leading player in the investments and asset management industry is seeking a Senior Compliance Officer in Cape Town. This role is central to ensuring compliance obligations while supporting sustainable growth. Responsibilities include overseeing compliance frameworks, monitoring adherence to regulations, and providing guidance across the business. Ideal candidates will have proven compliance experience and strong knowledge of relevant legislation. Apply now.

Qualifications

• Proven compliance experience within investments or financial services.
• Strong knowledge of relevant legislation, including FAIS, FICA, and AML.
• Solid understanding of investment products and client mandates.

Responsibilities

• Oversee compliance frameworks specific to investments and asset management.
• Monitor adherence to regulatory requirements like FIC, FAIS, and AML.
• Provide compliance guidance to Portfolio Managers and leadership.
• Manage compliance monitoring programmes and regulatory submissions.
• Drive training and awareness initiatives across the business.
• Identify and address compliance risks supporting best-practice governance.

Skills

Compliance experience

Knowledge of FAIS, FICA, AML

Understanding of investment products

Job description

Overview

Our client, a leading player in the investments and asset management industry, is seeking a Senior Compliance Officer to strengthen their governance and regulatory function. This role is central to ensuring that the business meets all compliance obligations while enabling sustainable growth in a fast-moving, client-focused environment.

Responsibilities

• Overseeing compliance frameworks specific to investments and asset management
• Monitoring adherence to FIC, FAIS, AML, POPIA, and other regulatory requirements
• Providing compliance guidance to Portfolio Managers, investment teams, and leadership
• Managing compliance monitoring programmes, reporting, and regulatory submissions
• Driving training and awareness initiatives across the business
• Identifying and addressing compliance risks while supporting best-practice governance

Qualifications and Experience

• Proven compliance experience within investments, asset management, or financial services
• Strong knowledge of relevant legislation, including FAIS, FICA, and AML requirements
• Solid understanding of investment products, processes, and client mandates

This is an excellent opportunity for a compliance professional with investment industry expertise to step into a senior role with influence and visibility, helping shape compliance strategies that support both regulatory integrity and business performance.

Apply now!