Permanent Head: Legal and Compliance (Investment Banking) | Fides Recruitment
Job Description
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Fides Recruitment Vacancies – Head: Legal and Compliance (Investment Banking)
Job Type: Permanant
Company: Fides Recruitment
Job Location: Johannesburg Region
Head: Legal and Compliance (Investment Banking)
Fides Recruitment is seeking a seasoned professional to join our client as a Co-Head: Legal and Compliance (Investment Banking). Based in the Johannesburg region, this leadership role is responsible for overseeing the legal and compliance functions across the group’s diverse business units. Reporting directly to the Chief Executive Officer, the successful candidate will work in partnership with the existing Co-Head to ensure robust governance, regulatory adherence, and strategic legal support.
Please note that this role is open to non-South African candidates only.
Key Responsibilities
Strategic Leadership and Regulatory Compliance
- Co-lead the legal and compliance function, providing executive-level advisory on legal and regulatory risks across all business lines.
- Manage comprehensive regulatory reporting, including ongoing requirements for the FSCA and FICA.
- Monitor evolving legal frameworks and ensure the firm and its sub-entities maintain full compliance with relevant legislation.
Corporate and Operational Governance
- Oversee South African corporate secretarial functions and manage the incorporation of new legal entities.
- Lead the firm’s KYC processes and manage corporate insurance portfolios.
- Handle operational legal matters, including employment contracts, CCMA-related issues, Department of Home Affairs (DHA) matters, and supplier agreements.
- Manage the firm’s relationships with external counsel and oversee any litigation, arbitration, or claims.
Transaction and Fund Support
- Provide legal support to investment banking and management teams by reviewing NDAs, term sheets, and ancillary transaction documents.
- Facilitate the negotiation of engagement letters and assist in the collection and verification of KYC documentation.
- Oversee legal requirements for the firm’s flagship fund, including reviewing investment agreements, managing conditions precedent (CPs), and coordinating with external legal counsel.
Resource Management
- Maintain internal legal resources, including contract templates and execution records.
- Review and integrate new technology tools to streamline legal processes.
- Manage miscellaneous legal tasks, such as reviewing employee stock grants and trademarks.
Qualifications and Experience
- LLB degree and formal admission as an attorney.
- A minimum of five years of post-qualification experience.
- Strong academic credentials.
- Prior in-house experience within financial services, funds, or investment banking is highly preferred.
- Proven exposure to multi-jurisdictional legal environments and anti-money laundering (AML) regulatory obligations.
Desired Skills
- Admitted Attorney status.
- Deep knowledge of the financial services and investment sectors.
- Experience in fund management and compliance.
- Ability to navigate complex regulatory landscapes across multiple jurisdictions.
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