Portfolio/ Investment Compliance Officer

Old Mutual Investment Group (SA); Cape Town; On-site; ZAR 500,000 - 700,000; Full time

Job summary

A leading financial services organization is seeking a Portfolio/Investment Compliance Officer to oversee compliance processes for client portfolios. Candidates should have a degree, strong Excel skills, and experience with compliance systems. This role is critical for maintaining adherence to regulations and guidelines, fostering collaboration within the compliance team and other departments. The position offers an opportunity to grow within a diverse and innovative environment.

Qualifications

• Graduate with a bachelor's degree, preferably BCom.
• Strong Excel skills.
• Experience with a portfolio compliance system (preferably Charles River) is a strong advantage.

Responsibilities

• Ensuring pre- and post-trade compliance with portfolio guidelines.
• Monitoring mandate guidelines and restrictions.
• Assist in coding mandate requirements in the compliance system.
• Interact with traders and portfolio managers to resolve compliance issues.

Skills

Communication Skills

Analytical Thinking

Attention to Detail

Problem-Solving Abilities

Teamwork and Collaboration

Adaptability

Time Management

Customer Service Orientation

Continuous Learning

Interpersonal Skills

Ethical Judgment

Proactive Approach

Education

Bachelor's degree, preferably BCom

Tools

Excel

Charles River

Infostore

Hiportfolio

Job description

Portfolio/ Investment Compliance Officer page is loaded

Portfolio/ Investment Compliance Officer

Apply locations Pinelands time type Full time posted on Posted Yesterday job requisition id JR-70108

Let's Write Africa's Story Together!

Old Mutual is a firm believer in the African opportunity and our diverse talent reflects this.

Job Description

naThe individual will as part of the team be responsible for the automated and/or manual processes for ensuring pre- and post-trade compliance with portfolio guidelines and restrictions in respect of client portfolios and other related matters.

What You’ll Be Trusted With

• Work with the OMIG’s portfolio compliance officers, legal and operations team.
• Review, interpret, clarify and sign-off mandate guidelines and conditions.
• Assist in monitoring mandate guidelines and restrictions as well as establishing and testing automated or manual processes to facilitate this monitoring.
• Assist in coding mandate requirements and legislative rules within the automated compliance and trading system (Charles River and other compliance/ trading systems).
• Peer review coded rules.
• Interact with traders and portfolio managers in the evaluation and resolution of pre- or post-trade compliance breaches and queries.
• Understanding of legislation and regulations impacting OMIG client mandates, such as South African Regulation 28, CISCA BN90, Medical Aid Schemes Act Reg 30, UCITS, Namibian Unit Trust legislation, Namibian Regulation 28 legislation amongst others.
• Assist with the classification of instruments where applicable.
• Proactively seek ways to continuously improve and refine the portfolio compliance processes.
• Compile compliance and board reports based on monitoring conducted.
• Resolve portfolio compliance issues and partake in meetings and discussions.
• Address ad hoc portfolio compliance queries from the business.
• Able to navigate and extract information from back-office systems.
• Provide guidance on investment compliance related matters as required.

Who You Are

• A graduate with a bachelor’s degree, preferably BCom.
• Have Asset management experience.
• Have strong Excel skills.
• Have experience with a portfolio compliance system (and in particular Charles River) would be a strong advantage as well as other back-office systems like infostore and Hiportfolio.

The Strengths You’ll Bring

• Communication Skills: Effective verbal and written communication skills are crucial for collaborating with various teams, explaining compliance issues, and resolving queries.
• Analytical Thinking: The ability to analyze complex data, interpret mandate guidelines, and identify potential compliance breaches is essential.
• Attention to Detail: A high level of attention to detail is necessary when reviewing and signing off on mandate guidelines, coding rules, and compiling compliance and board reports.
• Problem-Solving Abilities: Soft skills related to problem-solving are vital for evaluating and resolving compliance breaches, as well as addressing ad hoc queries from the business.
• Teamwork and Collaboration: The role involves working with portfolio compliance officers, legal teams, operations, traders, and portfolio managers. Strong teamwork and collaboration skills are essential.
• Adaptability: Given the dynamic nature of financial markets and regulatory changes, being adaptable is crucial for adjusting to new requirements and refining compliance processes.
• Time Management: Efficiently managing time and prioritizing tasks is important for meeting compliance deadlines and addressing portfolio compliance issues promptly.
• Customer Service Orientation: Interacting with traders and portfolio managers requires a customer service mindset to effectively resolve queries and issues.
• Continuous Learning: A willingness to stay updated on legislative changes, industry best practices, and evolving compliance standards is important for the role.
• Interpersonal Skills: Building positive relationships with colleagues, stakeholders, and clients is essential for effective communication and collaboration.
• Ethical Judgment: The role involves dealing with sensitive financial data and compliance issues, requiring a strong sense of ethical judgment and integrity.
• Proactive Approach: Taking a proactive stance in seeking ways to improve compliance processes and addressing issues before they escalate.

Let’s Succeed Together

At OMIG, how you work matters just as much as what you do. Our culture celebrates openness, accountability, and innovation – because that’s how we shape a bold future and wow our clients.

If you're ready to grow, lead, and make a meaningful impact, we look forward to meeting you.

Skills

Competencies

Action OrientedBalances StakeholdersCommunicates EffectivelyFinancial AcumenInstills TrustInterpersonal SavvyManages ComplexityOptimizes Work Processes

Education

Closing Date

20 August 2025 , 23:59

The appointment will be made from the designated group in line with the Employment Equity Plan of Old Mutual South Africa and the specific business unit in question.

The Old Mutual Story!

About Us

Old Mutual is a premium African financial services organisation that offers a broad spectrum of financial solutions to retail and corporate customers across key market segments in 14 countries. The lines of business include Life and Savings, Property and Casualty, Asset Management and Banking and Lending.
We are rooted in our purpose of Championing Mutually Positive Futures Every Day and believe that a great customer experience is anchored in a great employee experience.