Head of Compliance - Cape Town - Aquarius Specialist Recruitment
Job Summary: Asset Management company seeking Compliance Expert to draft policies, monitor adherence, and review regulatory developments.
Key Responsibilities:
- Draft policies under new/amended regulations.
- Implement and monitor company policies.
- Annual review and update of company policies.
- Review regulatory developments and present to legal team/board.
- Develop processes to monitor policy adherence.
- Draft and implement marketing policy.
- Submit regulatory reports.
- Manage outsourced compliance officers.
- Research marketing restrictions in various jurisdictions.
- Compliance with FAIS, POPIA, FICA.
- Assist with ad hoc queries on CISCA permissible instruments.
- Compliance record-keeping.
- Oversight of junior compliance analyst.
- All other compliance matters.
- Share knowledge with colleagues.
- Collaborate with internal teams.
- Ensure own performance objectives.
Requirements:
- Legal degree imperative.
- 5-10 years of experience in Asset Management.
- Draft company policies and interpret local/international laws.
Competencies:
- Strong organisational skills and attention to detail.
- Ability to problem solve.
- Ability to work independently and collaboratively.
- Proactive and detail-oriented.
- Output-focused and collaborative.
- Exceptional verbal and written communication skills.
- Proficiency in Microsoft Office Suite.
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