with No Comments


Our client follows a disciplined investment approach to protect and grow the wealth of their clients through services such as portfolio management, investment advisory service, stockbroking, derivatives, tax & fiduciary and offshore investments. Their products and services cater for the bespoke needs of High Net Worth (HNW) and Ultra High Net Worth (UHNW) individuals, and legal entities now and for generations to come. They employ over 400 people in total with 23 offices in the UK, Australia, Switzerland, the Cayman Islands and Mauritius. They are committed to excellence and as a result, place strong emphasis on client experience, investment performance and most importantly on developing their people creating both an inspirational and aspirational client centred work environment for their people.

They now seek a compliance officer to join their team. This is a new role. It is an intermediate level role. It is for a suitably qualified affirmative action candidate. The client would be prepared to relocate an out of town candidate for this role.



  • You will be responsible for liaising with regulators;
  • You will be responsible for training of employees on compliance and new legislation;
  • You will be responsible for establishing and updating of the compliance manual and other procedure manuals;
  • You will be responsible for incorporating new legislation into existing structure;
  • You will be required to determine statutory and management requirements applicable to different business areas;
  • You will be responsible for formulating and implementing compliance risk management plans;
  • You will be responsible for drawing up and implementing policies and procedures on various financial markets regulations as required;
  • You will be responsible for monitoring of compliance and adherence with rules, regulation, policies, procedures and limits;
  • You will be responsible for following-up on and ensuring corrective action in respect of monitoring functions;
  • You will be required to work with portfolio managers, operations, IT & project teams to pro-actively find business solutions;
  • You will be required to interact with group companies.



  • You have a high level of accuracy;
  • You have excellent communication (verbal and written) skills;
  • You have the ability to communicate with and develop strong relationships with other departments;
  • You have sound decision and judgment making under pressure;
  • You have strong negotiation skills and diplomacy;
  • You are able to operate at both a detailed and strategic level;
  • You have the ability to operate as a team leader or in a support role, depending on the activity;
  • You have strong analytical and logical thinking skills;
  • You have excellent presentation skills;
  • You have good report writing skills;
  • You have strong administrative and organisational skills;
  • You have the ability to act independently as well as part of a team;
  • You have a proactive approach and are a lateral thinker;
  • You have the ability to operate within a high performance environment;
  • You have a keen eye for detail;
  • You are confident and analytical.



  • You have a B Com (law);/llb;
  • You are currently registered with the FSB / Compliance Officer;
  • You are in the possession of all appropriate SAIFM Compliance certifications;
  • You have a minimum of 2 years current, relevant compliance related experience in the financial services industry;
  • You are computer literate in MS Office and JSE BDA system knowledge;
  • You have current, relevant experience within the private wealth industry; this is an advantage but not essential – FS experience is essential.
  • You have working knowledge and application experience of financial markets legislation.

Great team – a team that have successfully weathered this storm and are well prepared for the coming years. Friendly team -great career trajectory for a consummate professional with the appropriate skills and a proactive approach to work!