Job Description
This is a fantastic opportunity for a Compliance Specialist to take on a key role driving compliance & group regulatory excellence processes for this highly successful investment management platform.
This LISP is the only FSP in South Africa that builds financial regulation and compliance into its core offering, turning it from an obligation into a competitive advantage. You will be crucial in shaping a first-to-market digital customer experience for the investment management industry, where compliance is not just a function but a driver of innovation and growth.
This Compliance Specialist role is Cape Town-based with a CTC of R500K per year.
THE COMPANY
A leader in South African finance, this company prioritizes compliance while leveraging technology and expert asset management to deliver investment solutions. From institutional strategies to retail offerings, they simplify investing with smart, transparent products. Focused on innovation and client success, they ensure compliance drives growth and shape the future of tech-driven finance
THE ROLE
As a Compliance Specialist, you will support the Group Regulatory Compliance Team with technical expertise, helping to vet companies and trusts before onboarding, facilitate the take-on of institutional and employee benefits clients, and ensure compliance with customer due diligence requirements.
Your role will involve daily evaluation of risk ratings, AVS, and LexisNexis AML screening reports, as well as monitoring high-risk clients under the Risk Management and Compliance Program (RMCP). You will ensure consistent application of compliance principles, stay ahead of regulatory changes, assist in drafting and updating standard operating procedures, facilitate training sessions, and support internal audits.
REQUIREMENTS:
Legal degree (LLB/BCom Law) or similar
3+ years’ experience as a Compliance Specialist/Compliance Consultant
FIC, FICA, and AML compliance experience regarding corporate and retail clients
Group-level compliance experience
Risk management experience
Investment/employee benefits industry experience