Compliance Officer (Senior)

Network1; Cape Town; On-site; ZAR 200 000 - 300 000; Full time

Job summary

A leading investment firm in Cape Town is seeking a Senior Compliance Officer to enhance its governance and regulatory framework. This role requires strong compliance experience within the investment sector, knowledge of relevant legislation, and an ability to shape compliance strategies supporting regulatory integrity and business performance.

Qualifications

• Proven compliance experience within investments or asset management.
• Strong knowledge of FAIS, FICA, and AML requirements.
• Solid understanding of investment products and processes.

Responsibilities

• Oversee compliance frameworks for investments and asset management.
• Monitor adherence to regulatory requirements.
• Provide compliance guidance to investment teams and leadership.
• Manage compliance monitoring programs and regulatory submissions.
• Drive training and awareness initiatives across the business.

Skills

Compliance Management

Risk Management

Financial Services

Education

LLB

Job description

Keeping investments compliant is no small feat; think of yourself as the guardian of trust in asset management.

Our client a leading player in the investments and asset management industry is seeking a highly skilled 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.

Key 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

Job Experience and Skills Required

• 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
• LLB

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!

I also specialize in recruiting in the following

• Governance
• Risk
• Compliance
• Company Secretary
• Audit
• Legal

For more information contact:

Khanyisile Malongete

Senior Recruitment Consultant

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

Experience: years

Vacancy: 1