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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 requirements documents in "business requirements documents" in Jobs in Western Cape in Western Cape
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Title : Business Analyst Location : Cape Town (Mowbray) - Hybrid work model THE MAIN PURPOSE OF THE ROLE:The key function of a BA is to work with the stakeholders to analyze and document business processes for a system or piece of software to be developed. To determine functional requirements and high-level features, as well as elaborate on the details of the software project and requirements to set the direction of the project, and support its implementation. KEY RESPONSIBILITIES:Document the client requirementsDocument in a clear mannerDocument a well-structured document according to the specification templateMockups and sample reportsMaintain documentation and ensure it remains up to dateMinimal rework required for artifacts producedDelivers to customer expectationUAT percentage below 9% Failure rateEnsuring the finished product is what the client has asked forRunning workshops with clientsSpec handover sessions with the development teamDemo sessionsCollaborating with the development team and Development project managersCollaborating with the Product OwnerBacklog grooming Mandatory Skills / Abilities required for the JobExperience with Mockup toolsJira, confluence (or similar)Proficient in Microsoft OfficeExperience with SQLExperience in User StoresWire FramingExperience in using Agile Safe methodologiesParticipating in Estimation stores and creating acceptance criteriaCreate and run demo sessionsTime tracking managementExperience with requirements documents and requirement solicitation MINIMUM REQUIREMENTS:A minimum of 3 years experience in a Business Analyst roleBA degree or qualificationRetail related experienceExposure to enterprise development
https://www.jobplacements.com/Jobs/B/Business-Analyst-1264862-Job-Search-2-23-2026-2-55-47-AM.asp?sid=gumtree
3d
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Job description:The Paraplanner will provide an efficient administrative support function to Advisers. In this role you will be allocated a portfolio of clients to assist with processing transactions, dealing with clients directly, looking after accounts and support in basic financial planning. Responsibilities:Financial Planning supportFormulate effective financial plan documents and/or risk management documents, in-line with the strategy as outlined by the adviser, and the customers needs, objectives and risk tolerance.All documents must meet compliance requirements and the relevant legislation, and comply with the company standard documents, policies and procedures.Prepare statement of advice documentation as required.Review customer portfolio review reports in conjunction with changes in customer circumstances and investments and general market movement, as outlined in the sales and service process. Ensure report is accurate and that investment strategy is meeting customers objectives. Ensure customer is kept well informed and that all necessary actions are recommended and where necessary undertaken.Review customers risk coverage in conjunction with changes in customer circumstances and risk management needs, product offerings available, and changes in product provider rates. Ensure customer is kept well informed and that all necessary actions are recommended and where necessary undertaken.Prepare statement of advice documentation as required.Ensure the accurate production of all customer portfolio review documentation and reports in line with the practices service model.Customer ServiceTeam managementAdministrationClient Relationship ManagementGather Policy informationCompile a summary of informationResearch product informationHandling and solving of client enquiriesHandling of new application and quotationsDiary managementReporting of new business statisticsPreparation of insure review appointmentsMaintaining CRM systemsMinimum requirements:Relevant B.Com Financial degree (Economics, Finance, Business Management, Accounting, Risk Management or Financial Planning)Regulatory Exam for Representatives passed (RE5)At least 5 years relevant work experience within the financial industry as ParaplannerFully bilingual and Afrikaans and English
https://www.jobplacements.com/Jobs/P/Paraplanner-1263971-Job-Search-02-19-2026-04-00-34-AM.asp?sid=gumtree
7d
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Programme AdministratorCoordinate and support administrative and operational needs for an Executive team to ensure high-quality client outputs.City of Cape Town (Hybrid) | Full-timeAbout Our ClientThe company partners with leading companies, governments, and industrial clusters to build dignity and opportunity through sustainable, production-led economies. They focus on making Africa a globally competitive manufacturing hub through value chain transformation, smart industrial policies, and innovative sector development programmes. Their work spans research, policy development, strategy execution, manufacturing performance improvement, and sustainability.The Role: Programme AdministratorThe role exists to provide energetic and highly organised coordination for the Executive teams administrative and operational requirements. It contributes to the business by ensuring the team can focus on strategic delivery while maintaining quality standards for client outputs. Main focus areas include executive reporting, document and knowledge management, financial administration, and tender support.Key ResponsibilitiesApply a minimum of 3 years of business administration experience to support team operations.Prepare, quality-check, and circulate reports, presentations, agendas, and minutes for high-impact engagements.Oversee the organisation, filing, and version control of documentation across SharePoint and Zoho platforms.Maintain and update contact lists and database systems to ensure accurate stakeholder information.Support team operations through scheduling internal meetings and managing ad hoc travel arrangements.Assist in managing team reporting requirements related to finance, resource allocation, and project tracking.Format and polish documents for internal and client use to ensure alignment with professional branding.Coordinate tender submissions, compliance documents, and maintain records of CVs and project histories.About YouMinimum 3 years of business administration experience.Relevant National Diploma or equivalent qualification.Demonstratable working knowledge of MS Office Suite (especially Outlook and Excel) and platforms like MS Teams or Zoom.Strong attention to detail and high levels of organisation.Good verbal and written communication skills with the ability to work in a fast-paced environment.Socially adaptable with the ability to engage people from different socioeconomic backgrounds.Team player with good time management skills and the ability to prioritise tasks to meet deadlines.Intellectual curiosity and a desire to learn.Experience working on Zoho projects and Zoho CRM (nice-to-have).
https://www.jobplacements.com/Jobs/P/Programme-Administrator-1266260-Job-Search-2-26-2026-3-25-58-AM.asp?sid=gumtree
5h
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Programme AdministratorCoordinate and support administrative and operational needs for an Executive team to ensure high-quality client outputs. City of Cape Town (Hybrid), Full-time, 8 - 5About Our ClientThe company partners with leading companies, governments, and industrial clusters to build dignity and opportunity through sustainable, production-led economies. They focus on making Africa a globally competitive manufacturing hub through value chain transformation, smart industrial policies, and innovative sector development programmes. Their work spans research, policy development, strategy execution, manufacturing performance improvement, and sustainability.The Role: Programme AdministratorThe role exists to provide energetic and highly organised coordination for the Executive teams administrative and operational requirements. It contributes to the business by ensuring the team can focus on strategic delivery while maintaining quality standards for client outputs. The main focus areas include executive reporting, document and knowledge management, financial administration, and tender support.Key ResponsibilitiesApply a minimum of 3 years of business administration experience to support team operations.Prepare, quality-check, and circulate reports, presentations, agendas, and minutes for high-impact engagements.Oversee the organisation, filing, and version control of documentation across SharePoint and Zoho platforms.Maintain and update contact lists and database systems to ensure accurate stakeholder information.Support team operations through scheduling internal meetings and managing ad hoc travel arrangements.Assist in managing team reporting requirements related to finance, resource allocation, and project tracking.Format and polish documents for internal and client use to ensure alignment with professional branding.Coordinate tender submissions, compliance documents, and maintain records of CVs and project histories.About YouMinimum 3 years of business administration experience.Relevant National Diploma or equivalent qualification.Demonstratable working knowledge of MS Office Suite (especially Outlook and Excel) and platforms like MS Teams or Zoom.Strong attention to detail and high levels of organisation.Good verbal and written communication skills with the ability to work in a fast-paced environment.Socially adaptable with the ability to engage people from different socioeconomic backgrounds.https://www.jobplacements.com/Jobs/P/Programme-Administrator-1266259-Job-Search-2-26-2026-3-25-35-AM.asp?sid=gumtree
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ReceptionEnsuring a professional and welcoming front office reception experience.Answering all switchboard in a professional manner, transferring calls and taking and communicating messages.Handling candidate registrations, queries and complaints from clients and candidates (both telephonic and walk-in) under supervision of Branch Manager and / or General Manager.RecruitmentTo abide by the MASA DNA values which is the formula for success.Sourcing temporary candidates according to the Company Recruitment and Vetting Procedure ensure suitable qualified candidates available for assignment on short notice.Maintain active database of pool of candidates available for various positions.Place adverts on the various websites and newspapers if required.Meet and interview candidates in order to process, verify, and maintain documentation relating to employment history and skills, certificates obtained and personal particulars etc.Screening and processing of candidates applications in order to evaluate qualifications or eligibility of applicants according to the Company Vetting Procedure.Ensure candidates have completed all registration forms and brought all necessary documentation and update the database.Brief Assignees/Candidates so that they are ready to go out on assignments when the need arises.Conduct candidate reference checks and criminal record checks.Type CVs as requiredProvide exceptional service to clients and high caliber staff.Keep assignee files updated with relevant documentation.Prepare and submit Take-on Documentation to Payroll AdministrationResponsible for all general office administration for the branch.To provide operational support to the sales and operations team to enable them to deliver on service level agreements and to secure new business.Co-ordinate with Operations team to ensure PPE AODs are signed and returned to office timeously for onward submission to Head Office.Ensure adequate supply of office stock maintain and complete purchase requisition for Branch Manager to authorise prior to order of any stockConduct regular stock stakes of suppliesPrinting and completing master agreements and assignment confirmations as required.Printing attendance registers and timesheets.Timesheet capture as and when required.Sending emails faxes and scan documents as required.File away invoices, general correspondence etc.Liaising with Head Office when needed.Assist with resolving pay queries as required.Booking of the boardroom -ensure there is no double booking.Compile and update weekly and monthly reports in Microsoft Excel and perform typing in Microsoft Word as required on regular b
https://www.jobplacements.com/Jobs/R/Receptionist-YES-Intern-1262832-Job-Search-02-16-2026-04-33-43-AM.asp?sid=gumtree
10d
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Our client, with a national footprint, requires someone who can fulfil the position of Senior Wealth Assistant. Your:Formal Education:MatricNQF 5 & 6 would be advantageous (In Wealth Management)Experience:5+ years experience in the investment financial services industry is essential3+ Experience in the broker support environment is essentialCompetencies:Proficient in English and Afrikaans (read, write, speak)Competent on service providers website functionalities (Investment and risk service providers)Service provider products (Investment and risk platforms)will enable you to:Processing new business for new and existing clients:Ensure all documentation and information is prepared in accordance to company policiesFollow up on outstanding/incomplete client business and consult with/remind the Wealth Manager/AdvisorHandling of retirement claims, mainly focusing on Public sector funds.Section 14 & Section 37 transfersAssist with Whole Life Cover, Keyman Insurance and Buy and Sell Insurance applications.Facilitate the Transfer from Living Annuity to Life Annuity processServicing of existing clients:Assist with the review of clients Wills in consultation with the Wealth Manager/AdvisorMake payments on behalf of clients through the Investec corporate saver accountAttend to client complaints and enquiries in consultation with Wealth Manager/AdvisorGeneral Administration:Ensure that client documentation is in compliance with FICA & FAIS legislationRecording of client interaction and updating of client records upon completion of interactionMaintain client record and database according to company policiesAttend to Death Claim processes and documentationCorrect and timeous completion and submission of Fee Forms as well as all internal documentation as per company policyAssistance with Wealth Special Projects on ad-hoc basisActively building relationships with clients via telephone, in person and via email.Proactively managing tasks and ensure that all instructions are attended to in an efficient way.
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REQUIREMENTS Matric, with a qualification in Finance / AccountingMinimum 3 years experience in an accounts payable roleComfortable working UK business hours (09:0017:30 SAST)Exceptional English written and verbal communication skillsStrong working knowledge of Xero is essentialStrong attention to detail and confident working independentlyProficient in Microsoft Office with advanced ExcelExperience working with a UK-based business or team is a bonus DUTIES Process and code supplier invoices and credit notes in XeroReconcile supplier accounts and resolve discrepanciesManage AP queries from suppliers and internal teamsAssist with payment runs and ensure documentation is accurate and completeMaintain and update supplier records, payment terms, and contact detailsSupport weekly and month-end reportingIdentify and help implement process improvements within the AP functionSupport audits by providing documentation and responding to inquiries Salary: R negotiable dependent on experience Join us on SOCIAL MEDIA or visit our WEBSITE for more information. See links below.
https://www.jobplacements.com/Jobs/C/Creditors-Consultant-1204440-Job-Search-07-18-2025-04-32-18-AM.asp?sid=gumtree
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