Head of Compliance

Head of Compliance Cape Town

 

Our Investment Management client seeks the expertise of a Head of Compliance to lead the compliance function for an FCA-authorised investment management firm, maintaining regulatory standing, managing the regulator relationship, and embedding a strong compliance culture. This is a hands-on leadership role operating across live business activity, governance, and incident response in a fast-moving environment.

 

Salary: Market Related

Position Type: Permanent

Work type: Hybrid

 

Minimum Requirements:

• Relevant Degree Law or Finance
• Compliance certifications advantageous
• Senior compliance experience in financial services, ideally FCA-regulated investment/wealth management
• Strong working knowledge of KYC/AML, financial crime and financial promotions
• Experience with regulator engagement, audits, monitoring programmes, MI and FCA reporting
• Sound judgement under pressure; able to work in a lean, fast-paced environment
• Strong writing skills for board/regulator papers
• Accurate, on-time FCA submissions and high-quality governance reporting
• Effective, pragmatic compliance support that enables the business while managing risk
• Strong incident response and timely regulatory notifications
• Documented, embedded controls and a clear compliance culture across teams

 

Key responsibilities

1) Day-to-day compliance operations

• Provide real-time compliance guidance to investment, operations and customer teams on client queries and live transactions
• Review and approve financial promotions
• Oversee KYC/AML processes, including escalations and high-risk cases
• Run the compliance monitoring programme while supporting BAU advisory needs

 

2) Governance & regulatory reporting

• Prepare Board/committee papers and coordinate inputs to fixed reporting cycles
• Maintain and update compliance policies and procedures in response to regulatory change
• Produce management information (MI) and FCA-related reporting within external deadlines
• Implement best-practice controls and uplift compliance maturity across the firm

 

3) Incident, breach & complaint management

• Lead triage and response to incidents, breaches and complaints, including escalation decisions
• Coordinate with legal, operations and senior leadership during live issues
• Manage FCA notifications within required timeframes
• Maintain registers and required documentation to a practical, “real-world” standard (not tick-box)

 

4) People & capability

• Manage and develop a small team; drive consistency of standards
• Maintain a strong documentation suite (SOPs, training packs, regulatory updates)

 

Please apply online

FROGG Recruitment

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