AH 9407 – Legal, Secretarial and Compliance Manager (274 views)

Employer Description

A financial Services Brand offering bespoke lending, investment and management services, specializing in Insurance Markets. Offices are based in Johannesburg North.

Job Description

Will report to : Executive Head: Legal, Secretariat and Compliance. To support the Executive Head: Legal, Secretariat and Compliance to execute the Group’s strategy of providing appropriate advice and assurance that the Group’s business, across all its divisions and entities, is being conducted in a responsible and compliant manner.
Job Purpose: The main purpose of this role is to assist the EXCO member in providing business units with legal advice, drafting and vetting of contracts, performing statutory secretarial functions and, where necessary, performing compliance monitoring of all Group businesses, divisions and entities.
Key Tasks / Responsibilities:
• Provide legal support, advice and assistance to business units as and when required;
• Keep abreast of developments, trends and changes in legislation impacting on Business;
• Assist in overall compliance program development;
• Conduct compliance reviews as set out in the compliance coverage plan;
• Compile reports detailing results of compliance audits and reviews.
• Perform all regulatory reporting for the group.
• As and when required, conduct or co-ordinate training programmes for employees;


An LLB or Bachelor of Commerce university degree (FAIS requirement). A Postgraduate Diploma in Compliance Management;  Compliance Officer registered with at least the following regulatory agencies: o Financial Services Board; and o Financial Intelligence Centre


Admission as an attorney with at least 5 years post-qualification experience in commercial drafting (familiarity with insurance legislation would be advantageous); Understanding of corporate law and corporate governance (company secretarial experience would be highly advantageous); Familiarity with regulatory filings and statutory work (FAIS, FICA, CIPC etc.) At least 3 years compliance experience (financial services advantageous); Familiar with major compliance systems/packages (Exclaim knowledge advantageous). Membership of Compliance Institute of South Africa (CISA)

Salary / Package

R735 000 per anum CTC



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