Compliance Officer & Company Secretary

Compliance Officer & Company Secretary – Cape Town

Responsibilities:

Ensure compliance with the FAIS Act, FSCA regulations, and applicable Category I and II FSP requirements
Act as the appointed Compliance Officer and Money Laundering Compliance Officer (MLCO)
Maintain compliance programmes, risk assessments, policies, procedures and regulatory reports
Liaise with the FSCA, auditors and external compliance consultants
Monitor Fit and Proper requirements, CPD obligations and training records
Manage company secretarial duties, ensuring compliance with the Companies Act, MOIs and shareholder agreements
Maintain statutory registers, board minutes, resolutions, agreements and CIPC filings
Coordinate company incorporations, amendments, director appointments and statutory submissions
Support board governance, risk management, regulatory inspections, audits and compliance training

Requirements:

Relevant qualification in Law or Compliance and a FAIS-recognised compliance qualification
Minimum of four years’ private equity compliance experience
Proven Category II (Discretionary) FSP compliance experience
Strong knowledge of the FAIS Act, FSCA regulations, Companies Act and corporate governance
Experience in private equity, asset management or alternative investments
Must meet FSCA Fit and Proper requirements and be eligible for registration as a Compliance Officer
Strong analytical, documentation, communication and organisational skills
Chartered Secretary (CGISA) qualification or LLB would be advantageous
Experience with private equity fund structures and previous FSCA approval as a Compliance Officer would be advantageous