Opportunity to join highly competent investment Compliance team and grow your understanding of the asset management environment. This opportunity promises excellent exposure, growth, challenge and reward.
As Investment compliance officer, you will be providing key investment compliance monitoring expertise to a niche compliance team supporting a diversified financial service offering.

Relevant qualifications and experience
• Relevant tertiary qualification
• Certificate in Compliance Management would be an advantage
• A minimum of 4 years’ experience in the Investment Compliance gained from an Asset Management/related environment and strong interest in continuing a career in Investment Compliance
• Sound understanding and exposure to the various applicable legislations including, but not limited to, CISCA, Reg 28, Long Term Insurance Act, UCITS and Medical Aid Schemes Act
• Exposure to relevant investment systems as well as Compliance software ie Statpro
• Strong Excel skills

Duties:
• Responsibility for compliance with the requirements of REG28, REG30, LTIA, CISCA etc. Responsibility includes monitoring compliance, documenting findings and reporting findings to management.
• Key responsible for all Investment Compliance Monitoring which will require knowledge of

? Collective Investment Schemes Act: Board Notice 90 of 2014, Board Notice 92 of 2014, Board Notice 257 of 2013 (foreign collective investment due diligence), Board Notice 52 of 2015 Hedge Funds), Risk Management Programs for unlisted securities and exchanges not part of the World Federation of Exchanges.
? Pension Fund Act: Regulation 28 (monitoring, issuing certificates & Schedule IBs)
? Medical Aid Schemes Act: Regulation 30 (monitoring and issuing certificates)
? Long Term Insurance Act: Regulation 2.2
? UCITS preferred
? Segregated Mandate Compliance
? ASISA Standards & Guidelines
? Offshore fund exposure also preferred eg Namibia Regulation 28, Namibia Unit Trust Control Act
• Regulation 28 analysis and reporting
• Assisting with ASISA & FSB quarterly reporting
• Investigating breaches from the Trustees
• Interpretation of legislation, standards and Client Mandates. Coding of rules in compliance systems
• Responsibility for liaison with Regulators
• Compliance Static Data Management
• Pre-and post-trade breach analysis on relevant compliance systems. Breach resolution via liaison with portfolio managers.
• Takes responsibility for own training and education on Legislation.
• Adhoc task as required.

Key competencies:
• Highly organised and good time management
• Able to work well in a team environment and keen to develop those around them
• Accuracy and attention to detail is of the utmost importance
• Keen interest to learn and develop in the role. Self-starter who is self-driven and self-directed
• Strong work ethic
• Honesty and integrity

If you do not hear from us within 2 weeks, please consider your application unsuccessful.