Job title: Head of Compliance, Legal & Risk: Asset Management
Job type: Permanent
Emp type: Full-time
Industry: Financial Services (Asset Man, Wealth & Other)
Expertise: Legal, Risk & Compliance
Salary type: Annual
Location: City Center
Job published: 06-03-2020
Job ID: 34403
Contact name: Brylea Purnell, Megan Smillie
Phone number: 021 555 4402, 021 5554402
Contact email:,

Job Description

A boutique Investment Manager is looking to focus on growth over the next year and are thus looking to build a full Compliance, Legal and Risk capability within the business.
For the right person, this role would allow you to take ownership of this capability in the business, allowing you to build framework, establish processes and make sure that the proper regulation is in place.  You will need to have solid experience of not only being able to build framework, but also be hands on in the implementation of this from an operational perspective.  There is loads of growth potential in this space with the prospect of building a team.

You will be responsible for the following:

- Establishing a sound compliance and governance framework within the business
- Ensuring that all compliance and corporate governance is in line with FSP requirements 
- Ensuring all controls are in place to mitigate risk within the business
- Advise business on necessary controls and systems
- Responsible for Commercial and Legal agreements
- Implementation of relative ACT's and regulations

You will have the following knowledge:

- Long Term Insurance Act
- Compliance and Risk Monitoring and reporting
- Compliance queries and advice
- Understanding of Governance processes
-  Regulatory, FAIS and FICA Compliance

- RE certified
- CISA registered
- LLB  law or Compliance Management degree
- 5-8 years experience in risk and compliance within investments 

The successful candidate will come from the Asset Management/ Investment industry.

Preference will be given to EE candidates