Trade Compliance Analyst

Coronation Fund Managers; Cape Town; On-site; ZAR 600,000 - 900,000; Full time

Job summary

Coronation Fund Managers in Cape Town is seeking an investment compliance analyst to support pre-trade and post-trade compliance across regulations and client mandates. The role combines hands-on system management, including instrument maintenance and rule loading, with breach monitoring and regulatory reporting.

The ideal candidate will have a sound understanding of investment instruments, complex mandates, and the ability to maintain and interrogate compliance systems efficiently, while

Qualifications

• Minimum 3 years’ experience in investment compliance breach management or investment compliance.
• Experience with securities, product and systems is advantageous.
• Strong analytical skills and attention to detail with team orientation.

Responsibilities

• Deal with pre-trade and post-trade investment rule compliance across regulatory requirements and mandates.
• Daily system duties: instrument maintenance, rule loading, breach monitoring, and regulatory reporting.
• Understand investment restrictions and work with portfolio data and trade data.

Skills

Analytical thinking

Attention to detail

Team player

Communication skills

Education

Business or financial qualification

Tools

MS Excel

Bloomberg

Job description

Job Description

You will be part of a dedicated investment compliance team, focusing on pre-trade and post-trade compliance across regulatory requirements, industry guidelines, product investment restrictions and client investment mandates. The role combines hands-on system management, including instrument maintenance, compliance rule loading, and breach monitoring, with analytical work on investment restrictions and portfolio data. Working closely with colleagues in the compliance and dealing teams, the successful candidate will help to load rules, identify, elevate, and resolve compliance breaches and contribute to regulatory reporting obligations. The role requires a sound understanding of investment instruments and products, the ability to interpret complex mandate restrictions, and the technical proficiency to maintain and interrogate compliance systems accurately and efficiently.

Job Description

You will be part of a dedicated investment compliance team, focusing on pre-trade and post-trade compliance across regulatory requirements, industry guidelines, product investment restrictions and client investment mandates. The role combines hands‑on system management, including instrument maintenance, compliance rule loading, and breach monitoring, with analytical work on investment restrictions and portfolio data. Working closely with colleagues in the compliance and dealing teams, the successful candidate will help to load rules, identify, elevate, and resolve compliance breaches and contribute to regulatory reporting obligations. The role requires a sound understanding of investment instruments and products, the ability to interpret complex mandate restrictions, and the technical proficiency to maintain and interrogate compliance systems accurately and efficiently.

Duties & Responsibilities

• Dealing with all pre-trade and post-trade investment rule compliance aspects (including, but not limited to, daily monitoring and reporting) in relation to regulatory requirements, industry guidelines and investment mandates.
• Daily system / technical responsibilities:
  • Daily instrument maintenance.
  • Rule loading and maintenance.
  • General maintenance of compliance systems.
  • Daily breach monitoring.
  • Regulatory reporting.
  • General queries.
• Understanding and working with investment restrictions across various rule sets and product types.
• Understanding and working with investment management data sets including, but not limited to, portfolio valuation and trade data.

Ideal Experience

• A minimum of 3 years’ experience in investment compliance breach management/investment management compliance will be a distinct advantage.
• Other relevant technical compliance/investment management industry experience will be considered, including securities, product and systems experience.
• Attitude and core competence are key factors we consider, so this could be an opportunity for someone wanting to transition from a technical role and who has transferable skills, e.g. experience in appropriate roles on a dealing desk or within middle-office operations..

Ideal Qualifications

• Relevant business or financial qualification, e.g. BBusSc or BCom, CA or equivalent.

Most Important Attribute

• Analytical, detailed, keen interest in and knowledge of investment instruments, motivated and a team player.

Systems Knowledge

• Advanced skills in MS Excel essential.
• Bloomberg or similar investment compliance systems experience is an advantage.

Competencies

• Excellent attention to detail.
• Concise verbal and written communication skills.
• Good interpersonal skills.
• Ability to build and maintain relationships.
• Ability to act independently and as part of a team.
• Strong analytical skills.
• Logical thinking.

Personality Attributes

• Naturally analytical.
• Pragmatic.
• Self-starter.
• Fast learner.
• Assertive.
• Highly motivated.
• Proactive.
• Innovative.