Legal and Compliance Specialist

1 month ago


Sandton, South Africa EMPIRE RECRUITMENT Full time
Empire Recruitment: Legal and Compliance Officer

An investment firm in South Africa seeks a skilled Legal and Compliance Officer to join their team.

The ideal candidate will have:

  • At least three years of post-qualification experience
  • Excellent team working skills and the ability to collaborate with service providers in multiple jurisdictions
  • A strong appetite for taking on new tasks and gaining experience in new areas

The role will involve:

  • Managing the Money Laundering Reporting Office (MRO)
  • Reporting to the Financial Sector Conduct Authority (FSCA)
  • Providing corporate secretarial services in South Africa
  • Working with the investment banking and investment management teams to review NDAs, engagement letters, and terms sheets
  • Maintaining internal resources, including templates for legal contracts and records of contracts executed by the firm
  • Managing claims or litigation
  • Developing and maintaining relationships with external law firms
  • Ensuring best practice in the investment banking and investment management teams
  • Managing the Know Your Customer (KYC) process for external parties
  • Performing miscellaneous legal tasks, such as reviewing employment contracts and employee stock grants
  • Reviewing investment agreements and ancillary documents, including legal opinions related to flagship funds
  • Monitoring relevant legal frameworks and developments to ensure compliance of the company and its sub-entities

As a Legal and Compliance Officer at Empire Recruitment, you will play a critical role in upholding the highest standards of compliance and governance within the investment firm.



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