Head of Compliance: Investment

Head of Compliance: Investment

• *Recruiter:**

Communicate Recruitment

• *Job Ref:**

CTF022810/HAY

• *Date posted:**

Tuesday, March 31, 2026 • *Location:**

Cape Town, South Africa • *SUMMARY:**

As the

• *Head of Compliance**

, you will be the firm’s key guardian of regulatory integrity, with significant responsibility for • *CASS oversight**

, • *client money rules**

, • *governance**

, and proactive engagement with the FCA. This is a hands-on role in a lean environment where your decisions directly shape operational and regulatory outcomes. • *POSITION INFO:** • *Job Description:**

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

You’re a sharp, solutions-driven compliance professional with strong exposure to

• *CASS**

, • *client money**

, and the broader • *FCA Handbook**

. You thrive in environments that demand speed, precision, and excellent judgement. We’re looking for

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

High visibility and direct influence on the firm’s regulatory strategy

Ability to build and elevate the compliance function end‑to‑end

Mission-driven business with strong growth and global reach

Fast-moving environment where your expertise truly makes an impact

Opportunity to become the firm’s trusted voice in all CASS and FCA matters

• *Qualification:** • *Bachelor’s degree**

in one of the following: Law

Finance

Compliance

Accounting

Business/Commerce

A • *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 Please send your resume to quoting

• *Ref: CTF022810.**

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