Cape Town - Financial Services concern is seeking to employ a qualified candidate to assists the compliance team in ensuring that Group implements and maintains an effective, committed compliance and integrity program, to prevent and detect violations of legislation, internal rules an policies and investment guidelines.
Responsibilities : Assist in monitoring compliance with applicable legislation and internal requirements. Review draft mandates and investment guidelines with the view of implementation.
Monitor compliance with mandates and investment guidelines for compliance purposes within the timeframes and report to management and clients.
Identifies and assess compliance risk areas periodically and appropriately address findings through relevant and appropriate action plans processes.
Advise management, employees and clients on all compliance and regulatory matters that affect business decisions. Assist in developing, promoting, implementing and maintainingcompliance standards and procedures that enable employees to act in a compliant manner.
Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of breaches and other compliance and regulatory issues.
Train and assist employees to improve their regulatory knowledge and enhance their compliant behaviours. Engage with Portfolio Managers and business leaders on compliance matters relating to all investment management processes.
Report on compliance matters to the compliance officer, and assist the compliance officer in reporting on such matters to the Compliance Manager periodically.
Assist the compliance officer in ensuring that an effective system exists for communicating the compliance standards and guidance in the compliance risk areas, including digital training and other relevant communications mediums.
Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units.
Execute all other functions related to the compliance mandate as delegated by the compliance officer and Compliance Manager.
Requirements : Relevant tertiary qualification Postgraduate Diploma in Compliance Management would be an advantage Three (3) years compliance experience in an asset management environment Good working knowledge of FAIS, AMl & FICA and other related legislation Strong working knowledge and application experience of Financial Markets Legislation FSCA Approved Compliance Officer for Cat II would be an advantage Financial industry experience (essential)