Head of Compliance Investment
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Job Location:
Cape Town - South Africa
Monthly Salary:
Not Disclosed
Posted on:
13 hours ago
Vacancies:
1 Vacancy
Job Summary
Cape Town / Hybrid Senior Leadership Role High-Growth Environment Heavy CASS & FCA Exposure
As the Head of Compliance you will be the firms key guardian of regulatory integrity with significant responsibility for CASS oversight client money rules governance and proactive engagement with the FCA. This is a hands-on role in a lean environment where your decisions directly shape operational and regulatory outcomes.
As the Head of Compliance you will be the firms key guardian of regulatory integrity with significant responsibility for CASS oversight client money rules governance and proactive engagement with the FCA. This is a hands-on role in a lean environment where your decisions directly shape operational and regulatory outcomes.
Job Description:
Lead and refine the firms CASS framework ensuring correct segregation reconciliation and safeguarding of client money and custody assets
Own all FCA reporting including CMAR financial promotions approvals governance papers incident notifications and thematic submissions
Act as the primary point of contact for the FCA managing supervisory relationships and responding to regulatory developments
Oversee KYC/AML escalations compliance monitoring breach management and regulatory audits
Embed a culture of robust compliance across the business ensuring that CASS responsibilities are understood and executed companywide
Manage and develop a small high-performing compliance team
Youre a sharp solutions-driven compliance professional with strong exposure to CASS client money and the broader FCA Handbook. You thrive in environments that demand speed precision and excellent judgement.
Were looking for:
Proven experience in an FCAregulated investment wealth or fintech environment
Strong understanding of CASS (Client Assets Sourcebook) and client money rules
Experience with CMAR CASS reconciliation processes and oversight controls
Confidence engaging with the FCA and influencing senior stakeholders
Ability to balance strategic thinking with hands-on execution
Calm organised decision-making in fast-moving environments
High visibility and direct influence on the firms regulatory strategy
Ability to build and elevate the compliance function endtoend
Mission-driven business with strong growth and global reach
Fast-moving environment where your expertise truly makes an impact
Opportunity to become the firms trusted voice in all CASS and FCA matters
Qualification:
Bachelors degree in one of the following:
Law
Finance
Compliance
Accounting
Business/Commerce
A Masters degree (LLM MBA MSc Finance/Compliance) is advantageous but not essential.
ICA Qualifications (International Compliance Association)
CISI Qualifications (Chartered Institute for Securities & Investment)
CASS-Specific Training
Chartered or Professional Status
SMCR-Related Understanding
Please send your resume to emailprotected quoting Ref: CTF022480.
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About Company
Communicate Recruitment is Specialist recruitment company with a specialisation in Finance, IT and Engineering recruitment. Our aim is to partner with you and introduce you to great careers and exceptional candidates.
