Trainee Compliance Officer
PPS Investments
Cape Town South Africa, Western Cape, South Africa
5h ago

Main duties and responsibilities :

1. Provide legal advisory support to the CO of the Cat I, II, III and ManCo

2. Run post compliance trade reports on Unit Trusts and Segregated funds and provide daily compliance reports to respective departments

3. Conduct breach investigations, this involves liaison with asset managers and external service providers

4. Define and update asset characteristics on compliance system as required

5. Update and maintain compliance rules on compliance system as and when required

6. Research and provide feedback on the following legislation :

  • Collective Investment Schemes Act and subordinate legislation
  • ASISA Standard on Fund Classification;
  • Regulation 28 of Pension Funds Act;
  • Long Term Insurance Act; and
  • FAIS (as and when required)
  • FICA
  • 7. Provide support to the marketing team and within the business with regards to CISCA or any related queries

    8. Provide legal support / advice to business at project level

    9. COI and Gift Register maintenance

    10. Assists business to implement legislative changes

    Ideal experience :

    1. 1 years’ experience in a financial services environment and exposure to financial instruments will be an advantage

    2. Experience / knowledge of investments products

    3. Knowledge of FICA and FAIS

    Ideal qualifications :

    1. LLB / admitted attorney an advantage

    2. Any related investment experience / interest will be an advantage

    Competencies and ideal personality attributes :

    1. Understand financial instruments and terminology

    2. Able to research independently

    3. Ability to exercise independent judgement and reasoning

    5. Confident

    6. Good communication skills

    7. Friendly and professional

    8. Accountability

    9. Passionate about legislation in the financial services field

    10. Able to work well in a team

    Systems knowledge :

    1. Proficient in MS Office

    Based on the nature of our business, honesty and integrity is an inherent requirement for our roles, as the candidate will be exposed to financial transactions.

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