Senior Portfolio Compliance Officer

Hire Resolve; Cape Town; On-site; ZAR 900,000 - 1,200,000; Full time

Job summary

A financial services firm in Cape Town is seeking a Senior Portfolio Compliance Officer to oversee compliance activities related to investment portfolios. The ideal candidate will have a bachelor's degree in finance, at least 5 years of experience in portfolio compliance, and a strong knowledge of investment regulations. This role involves developing compliance policies, conducting audits, and providing training to stakeholders. Strong analytical and communication skills are essential for success in this position. The role offers a chance to work closely with senior management and make a significant impact.

Qualifications

• Bachelor's degree required, advanced degree or professional certification preferred.
• Minimum of 5 years of experience in portfolio compliance.
• Strong knowledge of investment regulations and compliance frameworks.

Responsibilities

• Develop and maintain compliance policies for investment portfolios.
• Monitor portfolios for regulatory compliance and set limits.
• Conduct regular compliance reviews and audits.
• Coordinate with internal teams, external vendors, and regulatory authorities to resolve compliance-related matters
• Provide guidance and training to portfolio managers and other stakeholders on compliance best practices
• Stay up-to-date on industry trends and changes in regulations to proactively address potential compliance risks
• Participate in compliance-related projects and initiatives as required

Skills

Analytical skills

Problem-solving skills

Communication skills

Detail-oriented

Education

Bachelor's degree in finance, business, or related field

Advanced degree or professional certification (CA, CPA)

Tools

Compliance software

Job description

Description: The Senior Portfolio Compliance Officer will be responsible for overseeing and managing the compliance activities related to the company's investment portfolios. This role will play a key part in ensuring that the organization adheres to all relevant regulatory and compliance requirements, including internal policies and procedures.

Responsibilities

• Develop, implement, and maintain compliance policies and procedures for the company's investment portfolios
• Monitor the portfolios to ensure compliance with regulatory requirements, investment guidelines, and set limits
• Conduct regular compliance reviews and audits to identify any potential issues or violations
• Coordinate with internal teams, external vendors, and regulatory authorities to resolve compliance-related matters
• Provide guidance and training to portfolio managers and other stakeholders on compliance best practices
• Stay up-to-date on industry trends and changes in regulations to proactively address potential compliance risks
• Participate in compliance-related projects and initiatives as required

Qualifications

• Bachelor's degree in finance, business, or a related field; advanced degree or professional certification (e.g., CA, Professional Accountant) preferred
• Minimum of 5 years of experience in portfolio compliance, preferably in the financial services industry
• Strong knowledge of investment regulations, compliance frameworks, and best practices
• Excellent analytical, problem-solving, and decision-making skills
• Ability to communicate effectively with all levels of the organization, both verbally and in writing
• Detail-oriented and able to prioritize and manage multiple tasks effectively
• Proficiency in compliance software and tools

The Senior Portfolio Compliance Officer will report to the Chief Compliance Officer and work closely with other members of the compliance and investment teams to ensure that the company's investment portfolios are managed in accordance with all relevant compliance requirements. Strong leadership, communication, and analytical skills are essential for success in this role.