Compliance Officer - Cape Town CBD

DBN000244 – Compliance Officer - Cape Town CBD

Purpose of the job:
To provide Compliance services to our client's holding company, its private equity fund structures, and subsidiaries while also ensuring complete compliance with the FAIS Act, FSCA requirements, and related financial services legislation applicable to a Category II (Discretionary) Financial Services Provider (FSP). The position promotes excellent governance, regulatory integrity, and effective board operations.


Required Qualifications

1. Chartered Secretary qualification (CGISA)
2. LLB, Compliance or similar legal qualification
3. Experience in private equity investment structures
4. Must meet FSCA Fit and Proper requirements for a Compliance Officer
5. Must be eligible for registration with the FSCA (if not already registered)
6. Prior appointment as an approved Compliance Officer with the FSCA
7. Proven Category II (Discretionary) FSP compliance experience
8. AIS Act (Category II); FSCA regulatory environment; Companies Act and corporate governance

Technical Competencies and responsibilities

1. FAIS & FSP Compliance (Category I & II – Private Equity)
2. Act as the appointed Compliance Officer, MLCO for the Category II FSP
3. Ensure ongoing compliance with: FAIS Act and subordinate legislation
4. General Code of Conduct
5. Determination of Fit and Proper Requirements
6. FSCA Directives, Conduct Standards and Guidance Notes
7. Maintain and update: Risk Management Compliance Program (RMCP)
8. Compliance Monitoring Programme
9. Compliance Manuals, Policies and Procedures
10. Act as or support the Company Secretary to group entities
11. File CIPC annual returns and amendments
12. Manage director appointments, resignations and disclosures
13. Manage company set up and amendments thereof
14. Governance, Risk & Advisory Support

Behavioural Competencies:

1. Trustworthy – High ethical values
2. Excellent command of the English language
3. Strong presentation capabilities
4. Self-starter and driven

Please Note: Should you not hear back from us within the next 2 weeks, please consider your application as unsuccessful.