- BCom Law / Bachelor of Laws (LLB) or equivalent legal qualification.
- Further legal qualifications, particularly in areas like contract law, statutory interpretation, compliance will be advantageous.
- At least 3-5 years post admission experience in a compliance as well as corporate and commercial environment is essential.
- At least 3-5 years relevant compliance experience within the financial services / investment industry or similar regulated industry is essential.
- At least 3-5 years’ experience in competition law, data privacy and protection, anti-money laundering laws.
- Solid experience in drafting of contracts and very strong drafting (contractual and opinion writing) is essential.
- Knowledge of commercial and business law as well as drafting commercial agreements.
- Knowledge of data protection legislation.
- Clean criminal and credit records.
- Non-practising member of the Legal Practice Council.
- Valid driver's license.
2.0 CORE WORK OUTPUTS (INCLUDES BUT IS NOT LIMITED TO THE FOLLOWING)
2.1 GOVERNANCE AND RISK
- Assist the Head of Legal with the maintenance and implementation of a Corporate Governance Framework for the organisation.
- Provide comprehensive and practical legal and compliance support to the organisation.
- Assist the Head of Legal in updating and maintaining a Policy Framework from time to time by providing details regarding the requirements of policies in the organisation.
- Assist the Head of Legal with the coordination of internal and external communication to deliver the correct governance-related message.
- Schedule compliance training activities and participants, prepare relevant documents, and procure necessary requirements in accordance with set policies and procedures.
- Contribute to establishing, implementing and maintaining a risk-based compliance plan on an annual basis.
- Support the Head of Legal and Company Secretary with the implementation and maintenance of the governance function to ensure that the company is not exposed to any regulatory or reputational risk.
- Manage the organisation’s code of conduct, compile compliance and ethics policies, enforce compliance and ethics, conduct compliance and ethics training and conduct governance compliance investigations.
2.2 COMPLIANCE AND REPORTING
- Assist the Head of Legal to provide assurance to the relevant organisation structures by developing and implementing sound corporate governance policies and procedures.
- Ensuring compliance with applicable legislation, regulations, policies and procedures including but not limited to legislation relevant to the financial and/or investment industry.
- Developing and executing relevant compliance reports/projects and monitoring such compliance with relevant data protection laws and/or company policies, including the assignment of responsibilities.
- Manage and mitigate compliance risk and ensure adherence to legislation, policies and procedures.
- Provide compliance support as and when required.
- Keep minute books and other statutory registers.
- Submit required statutory returns timeously.
- Create and maintain the organisation’s risk register.
- Keep, maintain and update an attendance register, register of declarations of interest, and minute books (Directors/ shareholders).
- Raising awareness (including by conducting the necessary trainings from time to time on applicable company policies and/or legislation) monitoring, implementing processes and reporting.
- Manage wide-ranging issues such as data usage/privacy, intellectual property, compliance, regulatory, and tax by partnering with subject matter experts in these areas and other stakeholder teams, and balancing these issues against reputational risk to ensure commercial agreements are consistent with corporate strategy, internal policies and procedures and applicable laws and regulations.
- Execute the governance and compliance initiatives across the business areas by managing the legal and compliance business risks.
- Integrated Report: assist with the integration or compilation of compliance report(s).
- Provide input towards the code of ethics or conduct and other relevant policies, as and when necessary.
- Assist with assessment and management of material actual or potential conflicts of interest.
- To maintain up to date and current knowledge on happenings within the legal and compliance environment.
- Carry out legal research and investigations (through Internet searches and other legal resources).
- Keep on top of relevant legislative, regulatory and industry changes and assess impact of any new legislation providing updates to Head of Legal when required.
- Generally advise, assist and guide internal stakeholders to ensure a compliance culture is embedded across the company and in so doing empowering the company to manage regulatory, conduct and reputational risks.
2.3 LEGAL ADVISOR
- Draft legal documents and/or contracts for relevant organisational transactions by participating in the contract negotiations, gathering all required information, drafting the document, checking for legal completeness and compliance and distributing for approval.
- Provide legal support as and when required.
- Provide legal advice, opinions and guidance which is appropriate, accurate and commercially relevant.
- Review, negotiation and drafting of various legal agreements, opinions and documents.
- Perform basic company secretarial functions, including but not limited to: maintaining accurate and up-to-date statutory registers for the company (including its subsidiaries where applicable), submission of relevant returns, including but not limited to annual returns.
- Review commercial projects and/or agreements to identify and mitigate compliance risks presented.
- Interpretation and implementation of relevant legislation, including amongst others, Competition Law, POPI, Promotion of Access to Information Act.
- Generally undertake legal and compliance tasks as and when requested.
- Generally having the competency to draft, review legal documents and develop general legislative awareness and ensuring compliance to plans, policies and procedures.
2.4 DATA GOVERNANCE
- Ensure that all regulatory and compliance objectives from a data governance perspective are met including scanning the horizon for potential regulatory requirements relevant to the organisation and raising regulatory items within the audit, risk and compliance committee.
- Ensuring the implementation of regulatory controls and compliance practices within the organisation through appropriate existing structures or persons with adequate authority.
- Support the Head of Legal and Company Secretary with the implementation and maintenance of the data governance and protection function to ensure that the company is not exposed to any regulatory or reputational risk.
- Undertake, and/or provide advice, on data protection impact assessments and monitor any high-risk processing of data.
- Productively assist in compliance with all data legislative requirements and minimise the compliance risks identified.
- Provide advice, assistance and guidance to the company in order that the relevant regulatory (and applicable risk) framework and company compliance related policies are implemented timeously.