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Our client who has been established in South Africa and investing on behalf of clients since 1974 has grown to become Africa’s largest privately owned investment management company.

They now seek a Compliance Officer to join their Regulatory Compliance team.


  • You will be required to assist the business in discharging their responsibility to comply with applicable legislative and regulatory requirements through the provision of compliance services, identify, assess, manage, monitor and report regulatory compliance risks facing the organisation;
  • You will be responsible formonitoring the relevant legislation, internal rules, policies impacting the business, including wider legislative, regulatory, company, industry standards, pro-actively assists the business in implementing new and amended regulatory requirements;
  • You will be required to ensure the effective implementation of the compliance monitoring programme, undertake all aspects of monitoring activities, including drafting, maintaining and enhancing compliance monitoring plans;
  • You will be required to prepare compliance reports to management and various committees;
  • You will be required to track the non-compliance with respective business unit managers until it is resolved;
  • You will be responsible for interacting with regulators, industry bodies and other external stakeholders;
  • You will be required to review training programmes and ensure that it’s in compliance with regulatory obligations.
  • You will be responsible for active participation in consultative, lobbying structures regarding legislative and regulatory developments;
  • You will be required to cultivate constructive relationships which will result in the business proactively seeking compliance involvement.

You know how compliance monitoring works and have experience doing same.   You are able to engage with internal and external stakeholders with aplomb. You have CAT 1+11 if you have 111 it would be a plus. There is compliance work for the Manco, LifeCo and pension fund business/ you are FAIS compliant. You are able to join a small team who are smart, capable and competent. You have a healthy sense of humour and a great work ethic. This is a new role – your manager was in this role prior and has new more strategic responsibilities. Great role for succession planning in the future, too!


  • You are able to work as part of a team;
  • You are a self-starter;
  • You are organised, confident, proactive and pragmatic;
  • You are able to juggle responsibilities;
  • You are able to deliver on time;
  • You are comfortable in a team environment;
  • You are analytical and methodical;
  • You are accurate;
  • You have a keen eye for detail;
  • You have excellent problem solving skills;
  • You have cross functional awareness and collaboration skills;
  • You have strong business acumen;
  • You are highly motivated, proactive, innovative and detail orientated;
  • You have excellent communication (verbal and written) skills in English;
  • You have strong reporting and interpersonal skills.


  • You have a B.Com or B.Bus. Sc/LLB + post graduate compliance studies;
  • You are a compliance practitioner registered with the Compliance Institute of South Africa;
  • You have current, relevant experience within the financial services industry, specifically relating to the operations of Category I, II and III FSP’s, CIS Manager, Long-Term Insurer and Pension Funds;
  • You are a FAIS approved Compliance Officer with the FSB;
  • You have passed the applicable FSB Regulatory exams;
  • You have a minimum of 5 years current, relevant work experience in the compliance industry;
  • You have current, relevant experience as an asset manager within a management company, compliance consultancy and insurer;
  • You have working knowledge of the Financial Intelligence Centre Act (including the FIC Amendment Act), Financial Advisory, Intermediary Services Act, Long-Term Insurance Act, Collective Investment Schemes Control Act, Protection of Personal Information Act and the Pension Funds Act;
  • You are computer literate with proven proficiency in MS Office (MS Outlook, Word, Excel, Visio, PowerPoint).

You are a pro-active individual with exceptionally high standards of work and you pay great attention to detail. You are a self-motivated, team player who has the ability to work under pressure with consistent diligence and a positive disposition. You are a team player who enjoys a challenge.