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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 regulatory in "regulatory" in Jobs in Western Cape in Western Cape
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An established financial services business within the asset management space is looking to appoint an experienced Compliance Officerto support and strengthen compliance governance across the division. This role offers exposure to senior stakeholders and plays a key part in ensuring regulatory alignment in a fast-paced, highly regulated environment.Why join this team?You will be joining a well-structured, professional environment where compliance is viewed as a strategic partner to the business. The role offers autonomy, meaningful stakeholder engagement, and the opportunity to work across a broad regulatory landscape within asset management.What you will be doing:Overseeing and maintaining the compliance risk management and monitoring frameworkMonitoring, analysing, and implementing regulatory and legislative changesPreparing compliance, regulatory, and statistical reports for internal and external stakeholdersReviewing marketing material to ensure regulatory complianceProviding advisory support on compliance-related queries across the businessManaging compliance projects end-to-endMaintaining FAIS procedures, manuals, and key individual/representative registersMonitoring and reporting on FAIS, AML/FICA, and TCF-related mattersWhat we are looking for:BCom and/or LLB qualificationMinimum of 5 years experience within financial services (asset management exposure preferred)RE1 completedRegistered Compliance Officer with the FSCAStrong working knowledge of FAIS, CISCA, AML/FICA, and asset management regulationsHigh attention to detail with strong analytical and communication skillsAbility to work independently and manage competing deadlinesBenefits and unique aspects:Exposure to senior leadership and strategic decision-makingBroad compliance remit across asset managementStable, well-regarded business with strong governance frameworksInclusive, transformation-focused cultureIf you havent heard back from us within two weeks of submitting your application, unfortunately your application has not been successful this time. Wed still love to stay connected follow us online and keep an eye out for future opportunities that match your profile.
https://www.jobplacements.com/Jobs/C/Compliance-Officer-1264359-Job-Search-2-20-2026-4-21-04-AM.asp?sid=gumtree
10d
Job Placements
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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-2-23-2026-9-04-00-AM.asp?sid=gumtree
8d
Job Placements
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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
15d
FROGG Recruitment SA
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Minimum requirements for the role:Must have a relevant tertiary qualificationLegal experience is not essential, but enthusiasm for compliance, regulation, and AML work is highly desirableMust have a genuine interest in AML processes, regulatory compliance, and legal riskExcellent IT skills with strong data handling capabilityHigh level of accuracy and attention to detail, with a commitment to maintaining high professional standardsAbility to work independently while contributing effectively within a collaborative team environmentStrong organisational skills with the ability to prioritise tasks and work well under pressureThe successful candidate will be responsible for:Conducting client due diligence checks and reviewing identification documentation in line with the firms AML framework.Ensuring all AML records are complete, accurate, and compliant with regulatory requirements.Running and documenting Source of Funds (SOF) and Source of Wealth (SOW) checks, ensuring risk-related information is appropriately obtained, analyzed, and escalated where required.Supporting ongoing AML monitoring activities, including periodic reviews, enhanced due diligence, and maintaining up-to-date risk assessments.Maintaining and updating compliance and regulatory registers, ensuring alignment with SRA and ICO obligations.Assisting with the coordination and administration of firm-wide compliance training, including AML training content and staff reminders.Supporting compliance onboarding for new starters, ensuring AML checks and mandatory training are completed timeously.Maintaining key compliance documentation, including SRA records, practicing certificate renewals, and wider compliance files.Providing day-to-day administrative support to the Risk and Compliance Manager to ensure consistent and effective compliance operations.Please note that subsequent to the screening and shortlisting process, all further communication will be entered into only with the shortlisted candidates. If you do not receive any feedback from us within 2 weeks of applying, please consider your application unsuccessful.
https://www.jobplacements.com/Jobs/L/Legal-Compliance-Assistant-Anti-Money-Laundering-1262808-Job-Search-02-16-2026-04-26-44-AM.asp?sid=gumtree
14d
Job Placements
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