Our Client is on the hunt for an accomplished Legal Specialist to join this esteemed independent asset management and investment research group specializing in Global Investment Strategies and Asset Management Services with a focus on multi-generational capital preservation.
Responsibilities:
- Review 3rd Party Agreements
- Assisting with the establishment and operation of investment funds
- Reviewing different fund Prospectuses
- Implementing Compliance and Risk Procedures
- The company and Client Company Secretarial
- Risk
- Compliance
FIC requirements:
- Knowledgeable in regards to the FIC Act, related legislations and regulations
- Ability to work through regulations etc to draft policies and implement in the business and keep up to date on changes
- Understand and know the reporting requirements
- Submissions and liaison with the FIC
- Ensuring implementation and monitoring of RMCP
- Monitoring, updating and implementing KYC processes
- Draft documents and process when necessary
- Acting 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 etc and draft or amend policies when necessary to keep up to date on changes
- Ensuring implementation, monitoring and updating of POPIA plans and processes and PAIA manual
- Acting as Information Officer
- Submissions and liaison with the Information Regulator
- Deal with requests in terms of POPIA and PAIA
- Deal with and investigate data breaches/security compromises and submitting notifications in terms thereof
- Draft documents necessary in terms of POPIA and ensure clients receive the necessary information and for internal processes.
- Track acceptance or non-acceptance in terms of POPIA requests.
FAIS compliance:
- Liaison with external compliance officer
- Implement internal compliance requirements
- Ensuring requirements are met
- Ensuring record of advice is kept and samples “audited” regularly (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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