Compliance Manager, Finance & Banking

Compliance Manager position available in Cape Town.

An opportunity is available for an experienced Compliance Manager within an established asset management environment.

This role is suited to a senior compliance professional with strong regulatory knowledge and experience operating in a fiduciary setting.

The purpose of the role is to support the development, implementation, and monitoring of a comprehensive compliance framework across the business. The role contributes to promoting ethical conduct, fiduciary responsibility, and regulatory adherence in line with local and international best practice.

Key Responsibilities:

• Embed and maintain a strong compliance culture across the organisation
• Develop, implement, and manage compliance risk management and monitoring plans
• Ensure adherence to applicable legislation and deliver compliance training where required
• Maintain up-to-date knowledge of legislation impacting institutional asset management, including POPIA, FAIS, FICA, CISCA, Regulation 28, Pension Funds Act, and the Medical Schemes Act
• Investigate compliance breaches and oversee resolution
• Prepare and present compliance reports, including Board and regulatory reports
• Maintain regulatory registers and compliance documentation
• Draft, review, and implement compliance policies and procedures
• Provide compliance advisory support to the business
• Act as the compliance lead on internal projects
• Engage with clients through presentations and due diligences
• Liaise with external compliance service providers and industry partners

Requirements:

• 8+ years’ compliance experience, preferably within asset management or financial services
• In-depth knowledge of the South African regulatory environment; international exposure advantageous
• Experience engaging with regulators, auditors, and senior stakeholders
• Relevant degree (BCom, LLB, CA(SA), or equivalent)
• Postgraduate qualification in Compliance, Risk, Law, or Investments preferred
• FSCA-approved Compliance Officer (FAIS and relevant exchanges)
• CFA Charter holder or candidate advantageous
• Knowledge of the Financial Markets Act (inside trading) and experience with the Charles River system advantageous