Legal Advisor

A leading financial services firm is seeking a Legal Advisor to support its asset management and stockbroking functions from its Cape Town office. This newly created role sits within the group legal team and carries responsibility for advising on a wide range of legal, regulatory and governance matters across multiple business areas.

About:

Acting as a key point of contact for legal and risk-related queries, the Legal Advisor will work closely with operations and senior management to ensure legal frameworks and regulatory obligations are properly integrated into business processes. The role includes involvement in complex transactional work, oversight of contractual documentation, and contribution to risk mitigation efforts.

Key responsibilities include:

• Advising on legal issues affecting the group’s investment management and stockbroking activities

• Drafting, reviewing and negotiating a broad range of agreements, including those related to structured finance, derivatives, institutional mandates and brokerage

• Supporting the implementation and maintenance of governance policies and contract management procedures across the group

• Working with internal audit and risk functions to embed effective risk controls

• Delivering internal training on legal, compliance and risk topics to teams across jurisdictions

• Monitoring changes in legislation and regulation, and updating internal policies accordingly

• Liaising with internal and external stakeholders on complex legal matters, including counterparty negotiations

• Managing external counsel relationships in a cost-conscious and quality-focused manner

• Preparing reports and briefings for senior leadership and board committees on legal and risk developments

Candidate profile:

Strong legal experience in the financial services sector, particularly in asset management or stockbroking, will be essential. A detailed understanding of South African regulatory frameworks, along with familiarity with international standards relevant to investment firms, is expected. A pragmatic approach to legal problem-solving, combined with sound judgement and the ability to work effectively across departments will be key.

Required qualifications and experience:

• Admitted attorney (South Africa), with 3 - 6 years’ post-qualification experience

• Demonstrated experience advising on risk and compliance matters within a regulated financial environment

• Technical understanding of applicable legislation, including CISCA, FAIS, COFI, Companies Act, POPIA, GDPR, FMA, EMIR, MiFID, and OTC derivatives

• Working knowledge of JSE rules as they apply to stockbroking operations

• Strong drafting and negotiation skills, with the ability to present complex issues clearly to non-legal audiences

• High level of accuracy and attention to detail

• Excellent time management, with the ability to manage competing priorities

• Professional integrity and discretion, particularly when handling sensitive or confidential information

• Awareness of the broader commercial and regulatory context in which financial services operate

Working environment:

The firm fosters a professional and inclusive culture that values independent thinking and collaborative working. Flexible arrangements are in place to support work-life balance, and career development is actively encouraged. The legal team plays a central role in strategic and operational decision-making, and legal advisers are given the opportunity to contribute meaningfully to the direction of the business.