Investment Compliance Officer
Investment Compliance Officer
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Salary Not Disclosed
1 Vacancy
Job Description
EMPLOYMENT TYPE : Permanent
SECTOR : Operations
BASIC SALARY : Market related
START DATE : A.S.A.P / Immediate
REQUIREMENTS:
- Relevant degree in relation to financial services
- Regulatory exams for Category I and II Financial Services Providers (FSP)
- 46 years experience in financial services as a Compliance Officer ideally within asset management
- Proficient in Microsoft Office suite
- Good working knowledge of CISCA and other related financial markets legislation (preferred)
- FAISapproved Compliance Officer for CAT I and II (advantageous)
DUTIES:
- Ensure the asset managers and CIS Managers investment activities comply with client mandates regulatory requirements (including CISCA) and internal policies through proactive monitoring reporting and advisory supporting the organizations commitment to regulatory excellence and risk management
- Take full ownership of posttrade compliance monitoring and conduct ongoing reviews of processes for the asset manager and CIS Manager
- Review and sign off investment mandates during onboarding and ensure ongoing compliance with client mandates
- Monitor compliance with CISCA in accordance with the annual plan and submit required reports to the FSCA
- Manage regulatory engagements including submission of mandate applications ASISA standards deeds supplemental deeds and new CIS fund applications as required
- Support pretrade compliance monitoring by liaising with developers and traders and advising on highrisk rules
- Oversee all investmentrelated compliance reporting including Regulation 28 reports and breach notifications
- Maintain detailed records and documentation related to compliance activities
- Attend relevant industry forums and workshops to stay informed of regulatory developments
- Coordinate insider notification and personal account trading processes in line with internal policies
- Liaise with trustees responding to breach reports overdraft notifications and other requests
- Escalate unresolved or material compliance issues to the Head of Compliance and Risk
- Provide general assistance to the Head of Compliance and Risk on an ad hoc basis as business needs arise
- Monday to Friday: 08:00 17:00
Should you not hear back from us within 10 working days please consider your application as unsuccessful. We will retain your credentials for future similar roles.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
