Legal & Compliance Officer (Corporate Finance / Contracts & Legal Documentation / Legal Risks) – Johannesburg South Africa

Location: Illovo, Gauteng, South Africa
Date Posted: 12-01-2018
Reference Number: DVM
Job Description:
The role is a combined legal and compliance function. As such, the Legal & Compliance Officer will be responsible for the provision of:
1. Legal advisory and support services to the Group, ensuring effective management of legal and contractual risks; and
2. Compliance management to the South African FSB and JSE regulated operations.
  • Review and provide legal advice on legal documents and jurisdictional legal frameworks.
  • Identify legal risks and appropriate remedial courses of action.
  • Provide legal protection and risk management advice to management especially with regard to contract management.
  • Interpret legislation and regulatory frameworks within various jurisdictions.
  • Review and draft contracts, agreements and policies (where applicable) and ensure that they are in compliance with all statutory or legal requirements within the jurisdictions in which they are to be used.
  • Assess legal implications of contracts and agreements and advise on any risks that must be addressed.
  • Negotiate, review and draft documentation for business transactions and prepare and advise on the necessary checklist to be adopted to ensure information is submitted on time.
  • Perform all reporting duties as required by the FIC / Anti – Money laundering, FSB, JSE and subordinate legislations to ensure compliance.
  • Develop / implement and update internal business policies, procedures and controls.
  • Ensure that internal rules, policies and risk frameworks align with the latest legislative and regulatory requirements and that all policies are reviewed and updated regularly.
  • Ensure that mandates are up to date and fully completed for the on-boarding process.
  • Monitor and test the levels of compliance on an ongoing basis.
  • Report non-compliance issues to management forums as required.
  • Receive KYC documents to ensure compliance with FICA and perform 3rd party verifications as well as UN – List checks.
  • Provide staff training for FICA / Anti – Money laundering, FAIS, POPI and internal policies.
  • Submit monthly capital adequacy returns to the JSE and communicate the daily capital adequacy for the purposes of monitoring and reporting internally to traders.
  • Compile FSB reports for submission.
  • Review and monitor client mandates.
Requirements: Qualification and Skill
  • South African citizen
  • A relevant legal qualification (LLB; B Proc or similar degree) is essential.  A relevant financial qualification (such as a B Com or BCompt) is highly preferable.
  • Candidates must be an admitted attorney.
  • Two to five years’ post articles legal experience, with experience in contract negotiation and drafting.
  • Banking or financial services sector experience will be highly advantageous.
  • Familiarity with and knowledge of the legal requirements of an investment bank or financial institution operating in Africa will be advantageous.
  • Prior compliance experience will be advantageous.
  • An excellent command of English, both written and verbal, is a requirement of the role.
  • Knowledge of, and experience with, laws dealing with regulatory and/or commercial contract administration, particularly contract negotiation, preparation and administration.
  • Ability to provide independent advice (orally and in writing) to senior level management on legal and regulatory matters.
  • Ability and willingness to learn new regulatory frameworks and the legal aspects of capital markets.
  • Experience in advising on legal implications of various transactions including corporate finance deals and mergers and acquisitions.
  • Strong legal drafting skills.
Please apply directly, by clicking on the Apply Button and visit for the latest CA Global jobs.

Danelle van der Merwe (le Roux)
Senior Associate: Banking and Investments
CA Global Finance /

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