Job Title Compliance Administrator
Location Bellville
Employment Permanent

Purpose statement To assist and support the compliance team with reporting and monitoring activities and other compliance processes to ensure the company complies with regulatory requirements and internal policies

Position in the organisation Reports to:
Compliance Manager

Subordinates:
None
General

Duties
Responsible for assisting in a variety of compliance reporting and monitoring aspects and providing general compliance support services


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 transfers
• Reporting on portfolio holdings
• Reg 28 audit annually
• Moonfire reporting
• Regulatory reporting – ASISA, SARB
• Morningstar reporting monthly
• SARB audit annually
• Monthly internal reporting of monitoring results

Monitoring
• AML ongoing daily screening on Risk Secure system
• Marketing material compliance checks
• Ad-hoc monitoring
• Compliance registers on SharePoint
• Compliance training results

Compliance support
• Ad-hoc compliance support
• Compliance Risk management Support
• Compliance awareness training support
• Assisting with AML and beneficial owner confirmation letters to foreign funds
• Attendance to compliance e-mail queries•

Qualifications & Experience Qualifications required
Grade 12
Relevant degree
Compliance certificate advantageous

Experience:
2 years relevant experience in the financial services industry, CIS would be an advantage

Critical Competencies
Knowledge
Microsoft Office
Financial Services industry

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