Regulatory Compliance Consultant - LISP Onboarding & Risk

Sygnia Asset Management; Cape Town; On-site; ZAR 600,000 - 900,000; Full time

Job summary

Sygnia Asset Management is seeking a Regulatory Compliance Consultant to support the Upfront Compliance Entity for the LISP and related retail products, in line with FICA, FATCA and internal policies.

You will perform onboarding verifications, monitor PEPs and Adverse Media, coordinate with Client Relationship Managers, and maintain detailed case notes while raising process improvements.

The ideal candidate has a BComLaw or LLB, 3–5 years in a LISP environment, and strong MS Word/Excel skills.

Qualifications

• Bachelor level degree in law or compliance required
• Experience onboarding clients and knowledge of entity and institutional onboarding
• 3–5 years in LISP environment administration preferred
• Knowledge of LISP, CIS, institutional clients and employee benefits onboarding is advantageous

Responsibilities

• Perform upfront compliance of new investments including verification (FICA/FATCA)
• Monitor Politically Exposed Persons and Adverse Media for new relationships
• Collaborate with Client Relationship Managers to obtain onboarding documentation
• Maintain detailed notes and follow up on outstanding requirements
• Work with administration and client service teams to ensure smooth onboarding
• Identify process gaps and report to management
• Adhere to policies, standards, and risk and compliance training
• Maintain confidentiality and security of data

Skills

Onboarding experience

LISP environment

CIS knowledge

Institutional clients

Employee benefits onboarding

Education

BComLaw / LLB

Tools

MS Word

MS Excel

Job description

Sygnia Asset Management is seeking a Regulatory Compliance Consultant to support the Upfront Compliance Entity for the LISP and related retail products, in line with FICA, FATCA and internal policies.

You will perform onboarding verifications, monitor PEPs and Adverse Media, coordinate with Client Relationship Managers, and maintain detailed case notes while raising process improvements.

The ideal candidate has a BComLaw or LLB, 3–5 years in a LISP environment, and strong MS Word/Excel skills.