Compliance Officer (Market Conduct)

We're looking for a Compliance Officer to act as a trusted advisory partner within our second-line assurance function. This is an advisory role, not a monitoring role - you'll embed regulatory requirements into business decision-making, product design, and operational practices across a large, complex Investment Management environment.

Scope

• Advisory oversight across more than 6 legal entities, representing approximately R880 billion in assets under management
• Regulatory frameworks including FAIS, CISCA, PFA, LTI, and POPIA

• Provide practical, solution-oriented compliance advice to operational, product, distribution, and support teams
• Embed regulatory requirements into products, services, and customer journeys
• Identify regulatory and conduct risks; partner with the business on sustainable remediation
• Support fair customer outcomes and challenge practices that expose the business to regulatory harm
• Participate in change initiatives and projects, addressing regulatory considerations upfront
• Maintain and enhance the Compliance Requirement Universe and related controls
• Track compliance breaches, support root-cause analysis and escalation
• Prepare compliance reports for management and governance committees
• Support regulatory submissions, inspections, thematic reviews, and audits
• Deliver compliance training and coach junior team members

• Matric plus a relevant tertiary qualification (Law, Compliance, Risk Management, Finance, or Business)
• FSCA approval as a Compliance Officer
• RE3 or RE4, with Phase I Compliance approval
• 5-8 years' regulatory compliance experience in financial services or a regulated environment
• Proven experience in Investment Management
• Demonstrated experience in business partnering/advisory compliance roles
• Experience in breach management and regulatory reporting
• Strong knowledge of market conduct legislation (FAIS, CISCA, POPIA, PFA)
• Exposure to compliance technology, data, and AI tools (advantageous)