Investment Compliance (Asset Management)

Aquarius Specialist Recruitment; Cape Town; On-site; ZAR 30 000 - 60 000; Full time

Job summary

An established industry player is seeking a Compliance Officer to ensure adherence to regulatory standards and investment mandates. This role involves full ownership of compliance processes, including post-trade monitoring and regulatory reporting. The ideal candidate will possess a relevant degree and have completed necessary regulatory exams. You will collaborate with various teams to maintain compliance excellence and manage client mandates effectively. If you thrive in a dynamic environment and are passionate about regulatory compliance, this opportunity is perfect for you.

Qualifications

• Experience in post-trade compliance monitoring and regulatory engagement.
• Strong understanding of CISCA compliance and investment mandates.

Responsibilities

• Oversee compliance monitoring processes for asset management.
• Manage regulatory reporting and client compliance mandates.

Skills

Compliance Monitoring

Regulatory Reporting

Risk Management

Time Management

Teamwork

Education

Relevant degree in financial services

Regulatory exams for CAT I and II FSP

Job description

Job description
Post-trade compliance monitoring: Full ownership and ongoing review of processes for the asset manager and CIS Manager.
Investment mandates: Review and sign off during onboarding and ensure ongoing compliance with client mandates.
CISCA regulatory compliance: Monitor compliance according to the annual plan and submit reports to FSCA.
Regulatory engagement: submission of mandate applications, ASISA standards, deed and supplemental deeds as business need requires. Including submission of new CIS funds.
Pre-trade compliance monitoring: Liaise with developers and traders, advise on high-risk rules.
Client and regulatory reporting: Manage all investment-related compliance reporting (e.g., reg 28, breaches).
Record Keeping: Maintain detailed records and documents related to compliance activities.
Industry forums/workshops: Attend relevant events.
Insider notification and personal account trading: Coordinate processes as per internal policies.
Trustee liaison: Respond to breaches, overdraft emails, and other requests.
Escalation: Communicate unresolved or material tasks to the Head of Compliance and Risk.

General:

Assist the Head of Compliance and Risk on an adhoc basis as business needs arise.

Characteristics
Teamwork and adherence to core compliance values.
Ability to balance priorities and motivate others.
Create a climate for optimal performance.
Guide staff to achieve regulatory excellence.
Accountability for time, tasks, and output quality.
Effective time management and planning.
Proactive attitude.
Qualifications
Relevant degree in relation to financial services.
Regulatory exams for CAT I and II FSP.

To apply for this role please send your CV and supporting documentation to [e-mail]