Our Client is on the hunt for an accomplished Legal Specialist to join this esteemed independent asset management and investment research group specialising in Global Investment Strategies and Asset Management Services with a focus on multi-generational capital preservation.
Responsibilities:
- Review 3rd Party Agreements
- Assist with the establishment and operation of investment funds
- Review different fund Prospectuses
- Implement Compliance and Risk Procedures
- Company and Client Company Secretarial
- Risk Management
- Compliance
FIC Requirements:
- Knowledgeable in regards to the FIC Act, related legislations and regulations
- Ability to work through regulations to draft policies and implement them in the business while keeping up to date on changes
- Understand and know the reporting requirements
- Submissions and liaison with the FIC
- Ensure implementation and monitoring of RMCP
- Monitor, update and implement KYC processes
- Draft documents and processes when necessary
- Act as FICA compliance officer
- Provide in-house training
POPIA Requirements:
- Knowledgeable in regards to the POPI Act and PAI Act, related legislations and regulations
- Ability to work through GN, regulations to draft or amend policies when necessary to keep up to date on changes
- Ensure implementation, monitoring and updating of POPIA plans and processes and PAIA manual
- Act as Information Officer
- Submissions and liaison with the Information Regulator
- Deal with requests in terms of POPIA and PAIA
- Investigate data breaches/security compromises and submit notifications
- Draft documents necessary in terms of POPIA and ensure clients receive the necessary information for internal processes
- Track acceptance or non-acceptance of POPIA requests
FAIS Compliance:
- Liaison with external compliance officer
- Implement internal compliance requirements
- Ensure requirements are met
- Maintain records of advice and conduct regular audits (client file sampling to ensure adherence to requirements)
- Understanding of FAIS Act and related legislation will be an advantage
Requirements:
- Tertiary Degree, with qualification in Law
- 3-5 years experience in Financial Services industry
- A hard-working individual with strong verbal and written communication skills
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