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Head of Compliance Cape Town
Our Investment Management client seeks the expertise of a Head of Compliance to lead the compliance function for an FCA-authorised investment management firm, maintaining regulatory standing, managing the regulator relationship, and embedding a strong compliance culture. This is a hands-on leadership role operating across live business activity, governance, and incident response in a fast-moving environment.
Salary: Market Related
Position Type: Permanent
Work type: Hybrid
Minimum Requirements:
Relevant Degree Law or FinanceCompliance certifications advantageousSenior compliance experience in financial services, ideally FCA-regulated investment/wealth managementStrong working knowledge of KYC/AML, financial crime and financial promotionsExperience with regulator engagement, audits, monitoring programmes, MI and FCA reportingSound judgement under pressure; able to work in a lean, fast-paced environmentStrong writing skills for board/regulator papersAccurate, on-time FCA submissions and high-quality governance reportingEffective, pragmatic compliance support that enables the business while managing riskStrong incident response and timely regulatory notificationsDocumented, embedded controls and a clear compliance culture across teams
Key responsibilities
1) Day-to-day compliance operations
Provide real-time compliance guidance to investment, operations and customer teams on client queries and live transactionsReview and approve financial promotionsOversee KYC/AML processes, including escalations and high-risk casesRun the compliance monitoring programme while supporting BAU advisory needs
2) Governance & regulatory reporting
Prepare Board/committee papers and coordinate inputs to fixed reporting cyclesMaintain and update compliance policies and procedures in response to regulatory changeProduce management information (MI) and FCA-related reporting within external deadlinesImplement best-practice controls and uplift compliance maturity across the firm
3) Incident, breach & complaint management
Lead triage and response to incidents, breaches and complaints, including escalation decisionsCoordinate with legal, operations and senior leadership during live issuesManage FCA notifications within required timeframesMaintain registers and required documentation to a practical, “real-world” standard (not tick-box)
4) People & capability
Manage and develop a small team; drive consistency of standardsMaintain a strong documentation suite (SOPs, training packs, regulatory updates)
Please apply online
FROGG RecruitmentConsultant Name: Quinton Wright
City Centre
Results for financial advisor jobs in "financial advisor jobs" in Jobs in South Africa in South Africa
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Financial Advisors - Freestate, North West, Northern Cape,
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Financial Advisors - Free Sate, Northern Cape, North West, Vaal
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Position : Financial AdvisorOur client is seeking an experienced Financial Advisor to join their team in Johannesburg! Commission-based earning potentialLocation: South of Johannesburg Hybrid working model with flexibility for home workingOpportunity to build and grow your client portfolioCareer advancement in financial services Description:Provide clients with expert financial advice and planningCreate and manage comprehensive financial plansGuide clients through investment options and strategiesPerform detailed risk assessmentsDevelop retirement planning strategiesReview and optimize client portfolios for asset growthConduct market research and financial analysisStay current with financial trends and legislationBuild and maintain strong client relationships Essential Requirements:Minimum 2 years of financial planning at a registered financial service providerExisting date of first appointment as representative with FSCABachelors degree or diploma in finance, economics, risk management, business, insurance, or related fieldIndustry-approved qualification Core Skills Required:Financial Planning and retirement planning expertiseProficiency in finance, investment, and long-term risk insuranceStrong analytical and problem-solving abilitiesExcellent interpersonal and communication skillsAbility to work independently and as part of a teamExperience in financial services or related fields
https://www.jobplacements.com/Jobs/F/Financial-Advisor-1265817-Job-Search-2-25-2026-2-48-06-AM.asp?sid=gumtree
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Support our advisory team by preparing accurate, insightful financial plans and helping deliver an exceptional client experience.Why join this team?Contribute to a client‑centric environment focused on holistic financial planningWork closely with experienced financial advisors in an established, professional settingBe part of a team dedicated to delivering high‑quality, personalized financial solutionsGain exposure across life insurance, investments, retirement, and estate planningWhat you will be doing: Financial Plan PreparationGather and organise client data (income, assets, liabilities, insurance)Update policy documents and perform relevant downloadsDraft comprehensive financial plans across multiple product providersPrepare comparisons for existing and proposed Life, Investment, and Dreaded Disease productsResearch & AnalysisConduct research on market trends, investment options, tax implications, and insurance structuresModel financial scenarios and projections to support sound client decisionsCompliance & DocumentationEnsure all advice complies with regulatory standards and internal processesMaintain accurate, complete client files and supporting documentationAdvisor SupportCollaborate closely with financial advisors and business development managersPrepare professional reports, presentations, and recommendations for client meetingsClient Relationship ManagementAssist with ongoing client reviews and portfolio updatesIdentify client risks, opportunities, and areas for financial improvementWhat we are looking for:Strong analytical and financial planning skillsTechnical understanding of insurance, investments, tax, and retirement planningProficiency in financial planning tools, CRM systems, and Microsoft OfficeExperience with Workpool and Atwork is advantageousExcellent report‑writing and communication skillsStrong organisational ability and attention to detailBachelors degree in Financial Planning, Finance, or related field is advantageousPrior experience in a paraplanning or financial advisory support role is essentialBenefits and unique aspects: Opportunities to work with a diverse range of financial products and providersExposure to comprehensive financial planning across multiple disciplinesCollaborative, supportive team environment If you havent heard back from us within two weeks of submitting your application, unfortunately your application has not been successful this ti
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