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Our client is a licensed discretionary investment manager specialising in the management of investments for both institutional and retail investors. They have an enviable track record and are a listed entity with a significant Africa and global footprint.

This is a leading asset manager with a comprehensive range of listed and unlisted investment capabilities. Their vision is to generate sustainable long-term returns for their clients that make a difference in their life and their mission is to relentlessly pursue investment excellence in order to grow the clients’ wealth over long periods of time. This client was honoured to receive the accolade for Best Managed Company in SA at the Top 500 Awards and acknowledged as the Best Performing Responsible Investment Asset Manager too.

The client is passionate about being as invested as their clients in a future that matters by investing their own money alongside their clients. That way they ensure their interests are entirely aligned with the clients. To deliver the vision they invest in people with exceptional talent, focus and ethics and focus on unlocking their excellence in an environment where teams can galvanise and prosper over time.

They now seek a senior compliance officer to join their team. You will report to the head of compliance.

This is an exciting opportunity in a diverse financial services company and offers the successful candidate stretch across multiple asset classes and asset management divisions in an ever-changing regulatory environment. The Compliance team has two sections; the Portfolio Compliance team and the Regulatory team which this person will head up.

This person will have one person reporting into him/her.

These roles are suitable for appropriately qualified affirmative action candidates.


  • You will be responsible for managing the company’s regulatory compliance team, which is responsible for managing regulatory risk;
  • You will be responsible for ably managing the team and ensuring that a sound regulatory compliance framework and environment is maintained, by means of drafting, implementing and maintaining suitable policies, processes and monitoring frameworks;
  • You will be required to ensure compliance with the group standards, as applicable to regulatory compliance;
  • You will be required to remain abreast of changes to legislation, such that you are able to:
    • Engage the business on changes or requirements in applicable primary legislation;
    • Propose solutions that are efficient and effective, given business and environmental factors;
    • Provide commentary on impending legislation, and understand how it pertains to the business;
  • You will be required to maintain and enhance the company’s regulatory training and communication programme and be comfortable to provide face-to-face training as and when required;
  • You will be required to compile the annual compliance plan and compliance monitoring plan (CMP) and ensure execution thereof;
  • You will be required to provide assistance and guidance to the business and respond to queries on all regulatory compliance matters;
  • You will be required to investigate, track resolution and report compliance breaches;
  • You will be required to coordinate regulatory engagements, including site visits;
  • You will be required to ensure reporting obligations, both internal and regulatory reporting requirements, are conducted within required timelines;
  • You will be required to liaise with key internal company and the broader group governance stakeholders;
  • You will be required to actively participate and represent the company, in internal group subject matter forums.


  • You have the ability to think of innovative and / or efficient solutions;
  • You have the ability to influence and build excellent external and internal working relationships;
  • You have the ability to function and influence at all levels in the organisation including executive level;
  • You have excellent planning and organising skills;
  • You are accurate;
  • You are adaptable;
  • You have excellent communication (verbal and written) skills in English;
  • You have analysis skills;
  • You have strong decision making skills;
  • You are able to work independently;
  • You are able to gain commitment;
  • You are able to initiate action;
  • You have problem solving skills;
  • You are quality orientated;
  • You have stress tolerance;
  • You have technical / professional knowledge.

CORE QUALIFICATIONS AND EXPERIENCE:                                 

  •  LLB as a minimum qualification;
  • You have a minimum of 5 years current, relevant experience in the investments space, preferably in asset management and in a legal or compliance role;
  • You are capable of being approved as a compliance officer by the financial sector conduct authority;  You are eligible for approval as a JSE compliance officers (bonds and derivatives) – this would be a distinct advantage;
  • You have an understanding of key legislation that impacts asset management and regulatory developments, including FICA and FAIS;
  • You have fulfilled a role as a compliance officer within an asset manager and have current, relevant experience with JSE member compliance within a bond / derivatives broker – this  would be a distinct advantage.

Great opportunity to show your technical nous and work for a global best practice business. Friendly team; high performance output and well respected business unit!