Job Description
About the Role
We are seeking a seasoned compliance professional to lead our firm’s compliance function, focusing on CASS framework, FCA reporting, and regulatory oversight. The successful candidate will be responsible for ensuring correct segregation, reconciliation, and safeguarding of client money and custody assets, as well as managing supervisory relationships with the FCA.
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 companywide
- 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
Salary & Benefits
Not specified.
How to Apply
Click the green “Go Apply” button below to apply directly online with the employer.
About Other Clearing and Forwarding Jobs in Western Cape
The field of other clearing and forwarding positions is an essential part of the global trade industry, playing a crucial role in facilitating the movement of goods across international borders. In Western Cape, South Africa, this sector typically experiences steady growth due to its strategic location as a major hub for imports and exports.
Generally, salaries for other clearing and forwarding professionals in Western Cape can vary widely depending on factors such as level of experience, company size, and industry sector. While it’s difficult to pinpoint exact salary ranges without knowing the specific circumstances of each role, broad estimates typically range from R400 000 to R800 000 per annum, with some senior positions potentially exceeding this amount. However, salaries can fluctuate significantly depending on individual qualifications, performance, and the specific requirements of the role.
Common skills required for other clearing and forwarding roles include language proficiency (particularly English and Afrikaans), knowledge of international trade regulations, experience with customs clearance procedures, strong analytical and problem-solving abilities, excellent communication and interpersonal skills, and basic computer literacy. Other desirable skills might include familiarity with transportation management systems, knowledge of logistics software, or experience working in supply chain management.
The financial services sector, technology industry, manufacturing sector, and ports and transport companies are some of the common industries that employ other clearing and forwarding professionals in Western Cape. These roles often involve coordinating shipments, communicating with clients and carriers, processing customs documents, and ensuring compliance with relevant regulations.
Career development opportunities for those in other clearing and forwarding roles typically involve specializing in a particular area, such as logistics or supply chain management. Promotions to senior positions may also be possible through experience and further education. As the global trade industry continues to evolve, professionals in this field can expect ongoing challenges and opportunities for growth and professional development.
This information provides general career guidance. Actual salaries and requirements vary by employer.
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