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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 business degree in "business degree" in Jobs in Western Cape in Western Cape
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Requirements:Completed BCom Degree (Preferably majoring in Information Systems, Analytics and Investment Planning / Risk Management) or BCom (Economics) / NQF4 / 5 Short Term InsuranceNo More than 2 Years experience in the financial services industryResponsibilities:To provide underwriting assistance to the Advisers. The position will focus on personal and commercial lines business.
https://www.jobplacements.com/Jobs/W/Wealth-Advisor-Assistant-Paarl-1267772-Job-Search-03-03-2026-04-05-59-AM.asp?sid=gumtree
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Requirements:Any Legal Degree/Cert. or Diploma/Degree in Compliance, Risk Management or related field2 - 3 years in a compliance role, prefereably within the financial services industryExposure to KYC (Know your Customer) and CDD (Customer Due Diligence) processes is highly advantageousExperience in compliance monitoring, regulatory reporting or risk assessments advantageousStrong interest in compliance and a commitment to continuous professional development in this fieldKey Duties and Responsibilities:Ensuring that clients due diligence is collected to the appropriate standard in line with our internal policies and procedures.Conduct Periodic Reviews, record any deficiencies and generate action points for remediation.Conduct client screening using our screening system and open-source searches.Monitor and analyse the results of the automated ongoing screening system and conducting research on relevant parties where potential adverse matches are identified.Conduct compliance monitoring in accordance with the compliance monitoring programme, to ensure compliance with all regulatory requirements and AML/CFT/CPF, record deficiencies and generate remediating action points.Assist in the development, implementation, and continuous improvement of internal policies and procedures to ensure operational efficiency and compliance.Assist in the development and delivery of training materials for staff members on compliance topics.Assist in providing day to day support/guidance to the staff as required in respect of compliance and AML/CFT/CPF matters.Participate in training sessions to increase your knowledge and understanding of the regulatory environment.Complete any other duties as and when required to drive business success.Assisting with the project management of new initiatives.Adopt and reflect the company values. CompetenciesExperience of working in a compliance environment.An ability to articulate complex issues in a clear and concise manner.An aptitude for problem solving.A methodical approach to tasks with a strong focus on attention to detail.Experience in collating and summarising data.Excellent organisational skills; prioritising, achieving deadlines.Consistently work at the standard required by the team and business.A willing and flexible attitude to working hours to support team and business needs, as required.
https://www.jobplacements.com/Jobs/C/Compliance-Monitoring-Officer-1063845-Job-Search-3-3-2026-4-32-56-AM.asp?sid=gumtree
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Our client is seeking a Policy Officer to join their team.Location: Cape Town CBDRequirements:A Degree (preferably in Economics or Business Administration)Masters Degree Highly desired3 years of relevant work experienceFluent in English (Spoken & Written Communication)Proficient in working with social media, branding & marketingProven professional track record A high level of maturityLikes working as part of a teamHas some affinity with cultural & political affairsHas interest in the following sectors: Critical Raw Materials, Green Hydrogen, Digitalization, Cyber Security, Finance.About:Contributing to policy goals & resultsStrengthening the economic network & working with partnersContributing to the centralised Head Offices goalsEffective & timely support to companies, responding to trade-related & other queriesFacilitation of incoming visitsIdentifying new opportunities inside & outside of the assigned sectorsArchive all decisions and documents related to the core activitiesAssisting with other activities from time to timeContract of EmploymentFixed-term contract for one year with option to extend.37.5 hours per weekTwo months probation period.
https://www.jobplacements.com/Jobs/P/Policy-Officer-CPT-1266182-Job-Search-02-25-2026-10-36-13-AM.asp?sid=gumtree
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Minimum Requirements:Must have a minimum of 3 years experience as a Sales Representative within the Textile IndustryGrade 12 Diploma or Degree in Sales, Marketing, Business Management or similarStrong knowledge of Retail | Manufacturing Market Valid Drivers License and own Transport requiredContactable references and payslips requiredSalary Structure:Basic Salary based on experienceBenefits(Only suitable candidates will be shortlisted and contacted within 14 days)
https://www.jobplacements.com/Jobs/S/Sales-Representative-1264555-Job-Search-02-20-2026-04-25-27-AM.asp?sid=gumtree
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