Legal Specialist | Cape Town

Our Client is on the hunt for an accomplished Legal Specialist to join this esteemed independent asset management and investment research group specialising in Global Investment Strategies and Asset Management Services with a focus on multi-generational capital preservation.
Responsibilities: Review 3rd Party AgreementsAssist with the establishment and operation of investment fundsReview different fund ProspectusesImplement Compliance and Risk ProceduresCompany and Client Company SecretarialRisk ManagementComplianceFIC Requirements: Knowledgeable in regards to the FIC Act, related legislations and regulationsAbility to work through regulations to draft policies and implement them in the business while keeping up to date on changesUnderstand and know the reporting requirementsSubmissions and liaison with the FICEnsure implementation and monitoring of RMCPMonitor, update and implement KYC processesDraft documents and processes when necessaryAct 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 to draft or amend policies when necessary to keep up to date on changesEnsure implementation, monitoring and updating of POPIA plans and processes and PAIA manualAct as Information OfficerSubmissions and liaison with the Information RegulatorDeal with requests in terms of POPIA and PAIAInvestigate data breaches/security compromises and submit notificationsDraft documents necessary in terms of POPIA and ensure clients receive the necessary information for internal processesTrack acceptance or non-acceptance of POPIA requestsFAIS Compliance: Liaison with external compliance officerImplement internal compliance requirementsEnsure requirements are metMaintain records of advice and conduct regular audits (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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