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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
We
are looking to offer applicants with OWN reliable vehicle contracts to provide
services to our team on a FULL TIME OR PART TIME basis or shift rotational
basis (AVAILABLE SHIFTS: days/nights/weekends).
You
MUST have: YOUR OWN reliable, road worthy, with COR, licensed vehicle (fuel
efficient - 1600 engine size or smaller) or reliable motorbike with fitted
delivery box - Android phone and POWERBANK.
We
deliver from over 150 restaurants in PMB. Driver Partners can earn from R2,000
a week PLUS tips - depending on your willingness to work hard and the number of
shifts available and worked.
You
will be a fully licensed driver (NO LEARNERS LICENSE ACCEPTED), English
speaking, punctual, deadlines driven, able to handle pressure, be well
presented, friendly, polite and respectful. KNOWLEDGE OF PMB suburbs critical.
We
do not charge for interviews, do not be scammed by scammers.
NO
INFORMATION WILL RESULT IN NO INTERVIEW.
Background checks will be conducted.
Please
contact us for an interview on 087 365 3683 or Email: tdtpmbhr@gmail.com
Pietermaritzburg
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