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Cape Town City Centre: Head of Compliance: Investment

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Job Description

About the Role

We are seeking a seasoned compliance professional to lead our firm’s compliance function, with a focus on Client Assets Sourcebook (CASS) and regulatory requirements. As Head of Compliance: Investment, you will be responsible for refining our CASS framework, managing supervisory relationships with the FCA, and ensuring robust compliance across the business.

Key Responsibilities

  • Lead and refine the firm’s CASS framework, ensuring correct segregation, reconciliation, and safeguarding of client money and custody assets
  • Own all FCA reporting, including CMAR, financial promotions approvals, governance papers, incident notifications, and thematic submissions
  • Act as the primary point of contact for the FCA, managing supervisory relationships and responding to regulatory developments
  • Oversee KYC/AML escalations, compliance monitoring, breach management, and regulatory audits
  • Embed a culture of robust compliance across the business, ensuring that CASS responsibilities are understood and executed company-wide
  • Manage and develop a small, high-performing compliance team

Requirements

  • Proven experience in an FCA-regulated investment, wealth, or fintech environment
  • Strong understanding of CASS (Client Assets Sourcebook) and client money rules
  • Experience with CMAR, CASS reconciliation processes, and oversight controls
  • Confidence engaging with the FCA and influencing senior stakeholders
  • Ability to balance strategic thinking with hands-on execution
  • Calm, organised decision-making in fast-moving environments

Qualifications

  • Bachelor’s degree in one of the following: Law, Finance, Compliance, Accounting, Business/Commerce
  • Master’s degree (LLM, MBA, MSc Finance/Compliance) is advantageous but not essential
  • ICA Qualifications (International Compliance Association)
  • CISI Qualifications (Chartered Institute for Securities & Investment)
  • CASS-Specific Training
  • Chartered or Professional Status
  • SMCR-Related Understanding
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How to Apply

Click the green “Go Apply” button below to apply directly online with the employer.

About Accounting / Finance Jobs in Cape Town Region

In the Cape Town region, accounting and finance positions are typically found in various industries, including financial services, technology, and manufacturing sectors. The job market for these roles is generally stable, with a steady demand for skilled professionals to support business growth and development.

Accountants and finance specialists in Cape Town can expect salaries that range from R400 000 to R1 500 000 per annum, depending on factors such as level of experience, company size, industry sector, and specific job requirements. For example, entry-level positions may start at the lower end of this range, while senior roles or those in larger companies may command higher salaries towards the upper end. However, these figures are only general guidelines and actual salaries can vary significantly depending on individual circumstances.

Common skills required for accounting and finance roles in Cape Town include proficiency in financial software such as SAP or Xero, strong analytical and problem-solving skills, excellent communication and interpersonal skills, a solid understanding of tax laws and regulations, experience with budgeting and forecasting, and a degree in accounting or a related field. Other desirable skills may include knowledge of cloud-based technologies, data analysis tools, and industry-specific regulations.

The financial services sector is one of the largest employers of accountants and finance specialists in Cape Town, followed by technology and manufacturing industries. These sectors require professionals with a strong understanding of financial management, budgeting, and forecasting to support business growth and decision-making. Other industries that may employ accounting and finance staff include construction, tourism, and agriculture.

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For those interested in pursuing a career in accounting or finance, there are many opportunities for professional development and advancement. Many companies in Cape Town offer training programs and mentorship schemes to help employees build their skills and expertise. Additionally, certifications such as the Certified Public Accountant (CPA) designation can be beneficial in enhancing career prospects. Overall, a strong foundation in accounting and finance, combined with relevant work experience and industry-specific knowledge, can lead to a successful and rewarding career in this field.


This information provides general career guidance. Actual salaries and requirements vary by employer.



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