Our Client is on the hunt for an accomplished Legal Specialist to join this esteemed independent asset management and investment research group specializing in Global Investment Strategies and Asset Management Services with a focus on multi-generational capital preservation.Responsibilities:Review 3rd Party AgreementsAssisting with the establishment and operation of investment fundsReviewing different fund ProspectusesImplementing Compliance and Risk ProceduresThe company and Client Company SecretarialRiskComplianceFIC Requirements:Knowledgeable in regards to the FIC Act, related legislations and regulationsAbility to work through regulations etc to draft policies and implement in the business and keep up to date on changesUnderstand and know the reporting requirementsSubmissions and liaison with the FICEnsuring implementation and monitoring of RMCPMonitoring, updating and implementing KYC processesDraft documents and process when necessaryActing as FICA compliance officerProvide in-house trainingPOPIA Requirements:Knowledgeable in regards to the POPI Act and PAI Act, related legislations and regulationsAbility to work through GN, regulations etc and draft or amend policies when necessary to keep up to date on changesEnsuring implementation, monitoring and updating of POPIA plans and processes and PAIA manualActing as Information OfficerSubmissions and liaison with the Information RegulatorDeal with requests in terms of POPIA and PAIADeal with and investigate data breaches/security compromises and submitting notifications in terms thereofDraft documents necessary in terms of POPIA and ensure clients receive the necessary information and for internal processes.Track acceptance or non-acceptance in terms of POPIA requests.FAIS Compliance:Liaison with external compliance officerImplement internal compliance requirementsEnsuring requirements are metEnsuring record of advice is kept and samples "audited" regularly (client file sampling to ensure adherence to requirements)Understanding of FAIS act and related legislation will be an advantageRequirements:Tertiary Degree, with qualification in Law3-5 years experience in Financial Services industryA hard working individual with strong verbal and written communication skills
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