Jobs at Robert Walters

Introduction

• Our client is seeking a meticulous and detail-oriented Compliance Consultant to ensure regulatory adherence and operational excellence within their organization. This role involves managing and maintaining compliance processes, documentation, and regulatory obligations, specifically focusing on AML, FAIS, and other financial regulatory requirements. The successful candidate will be responsible for creating concise, complete, and accurate process documents for all compliance-related actions and tasks.

Key qualifications and experience for the Compliance Consultant

• Bachelor's degree in Law, Finance, Compliance, or a related field
• Relevant certifications in compliance, AML, FAIS, or related regulatory frameworks
• Strong knowledge of FICA, FAIS, AML, POPIA, and TCF regulations

Key duties for the Compliance Consultant

• Ensure full compliance with AML (Anti-Money Laundering) and FAIS (Financial Advisory and Intermediary Services) regulations
• Manage and maintain Moonstone Fit and Proper System
• Regulatory Compliance Management
• Create concise, complete, and accurate process documents for all compliance-related actions and tasks
• Policy Maintenance & Implementation
• Supervision Process Coordination
• FICA/AML Compliance Support
• FAIS Compliance for the Consulting Team
• Register & Regulatory Maintenance
• POPI (Protection of Personal Information Act) Compliance
• Treating Customers Fairly (TCF) Compliance
• Continuous Professional Development (CPD Training)
• Regulatory & Technical Support

Key personal skills

• Exceptional attention to detail and organizational skills
• Strong analytical abilities
• Excellent written and verbal communication skills
• Ability to work independently while collaborating effectively with teams
• Proficiency in compliance-related software and reporting tools

go to method of application »

• An exciting opportunity has arisen for a Senior Investment Consultant to join a leading financial services provider. This role offers the chance to lead the strategic direction and delivery of investment consulting services, driving growth and innovation in the business. The successful candidate will have the opportunity to work in a dynamic environment that values collaboration, innovation, and excellence. With a focus on client satisfaction and retention, this role is perfect for someone with strong leadership skills, technical expertise, and exceptional client relationship management abilities.

Key qualifications and experience for the Senior Investment Consultant

• Bachelor's degree in Investments, Finance, Economics, or a related field
• Master's degree or CFAdesignation strongly preferred
• At least 10-15 years of experience in investment consulting, asset management, or related fields
• Proven leadership experience, including managing teams and overseeing client portfolios
• In-depth knowledge of South African financial markets, investment vehicles, and regulatory frameworks
• Client-centric approach with a deep understanding of institutional investment needs.

Key duties for the Senior Investment Consultant

• Lead the strategic direction and delivery of investment consulting services
• Assist in setting and executing the vision, strategy, and goals for the investment consulting division
• Identify market opportunities and innovate service offerings to meet client needs
• Foster a culture of collaboration, innovation, and excellence within the team
• Mentor and develop a high-performing team of investment consultants
• Build and maintain strong relationships with key institutional clients
• Act as the senior consultant for key strategic clients, delivering tailored investment strategies and insights
• Oversee the delivery of high-quality investment consulting services, ensuring compliance with all legislation, regulations and internal policies
• Ensure all investment recommendations and implementations comply with regulatory requirements and internal policies
• Identify and mitigate potential risks in client portfolios.
• Ensure compliance to all relevant regulatory requirements and internal policies
• Represent the firm in industry forums, conferences, and client presentations to enhance brand presence.
• Stay abreast of global and local market developments, regulatory changes, and investment trends.
• Strategic Leadership
• Team Management
• Client Engagement and Relationship Management
• Operational Oversight
• Compliance and Risk Management
• Market and Industry Engagement

Key personal skills

• Leader with a passion for driving excellence in investment consulting
• Exceptional leadership and people management skills
• Advanced analytical, strategic thinking, and problem-solving abilities
• Ability to innovate and adapt in a competitive market
• Strong communication, presentation, and interpersonal skills.