Job Title Compliance Administrator
Division Boutique Collective Investments
Date Reviewed December 2021
Location Bellville
Employment Permanent
Purpose statement To assist and support the compliance team with regard to reporting and monitoring.
Position in the organisation Reports to:
Head of Compliance
EFG Group Compliance

Subordinates:
None
General

Duties • Responsible for assisting in a variety of reporting aspects.
• Responsible for assisting in variety of monitoring aspects


Reporting
• Reporting on Reg 28 compliance to retirement funds
• Asset allocation reporting to clients
• Reporting on auditor’s requests for retirement funds
• Reporting to Trustees on scrip lending
• Reporting on portfolio holdings
• Reg 28 audit annually
• Moonfire reporting


Monitoring
• AML ongoing daily screening on Risk Secure system
• Marketing material compliance checks
• Annual review of due diligences done for non-approved foreign funds
• Ad-hoc monitoring

Ad-hoc
• Assisting with AML and beneficial owner confirmation letters to foreign funds
• FICA requests
• E-mail queries

Compliance support
• Ad-hoc compliance support
• Risk management Support
Qualifications & Experience Qualifications required
Studying towards a compliance qualification or relevant degree/certificate

Experience:
2-5 years admin experience in the financial services industry
Compliance experience will be an advantage
Critical Competencies
Knowledge
Microsoft Office
Current legislation, specifically Reg28, FICA, POPIA, CIS
Financial Services industry, specifically Collective Investments

Skills and attributes
Ability to work independently and as part of a team
Proactive
Strong communication skills – both written and verbal
Ability to prioritize
Logical thinker
Professional
Strong work ethic
Reliable
Ability to handle a pressurised, fast paced work environment
Strong sense of ethics
Attention to detail
Good time management skills

Only shortlisted candidates will be contacted