Investment Compliance Officer
Investment Compliance Officer
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Salary Not Disclosed
1 Vacancy
Job Description
Job Description
Role Title:
Investment Compliance Officer
Client Summary:
Our client is a dynamic and independent asset manager committed to longterm investment excellence and stewardship. With a reputation for integrity rigor and accountability they serve institutional and retail clients while contributing meaningfully to financial sector transformation in South Africa.
Job Description:
Join a purposedriven investment firm where your expertise in regulatory compliance will play a crucial role in upholding trust integrity and operational excellence. As the Investment Compliance Officer youll be responsible for shaping leading and monitoring compliance initiatives across all areas of investment operations ensuring alignment with industry regulations and internal mandates.
This is a rare opportunity to step into a pivotal role within a respected asset management firm. Youll gain exposure to a wide range of compliance and regulatory functions work alongside experienced professionals and have the autonomy to improve systems and processes.
Key Responsibilities:
Lead the full scope of posttrade compliance monitoring for both asset and CIS management.
Review sign off and ensure ongoing compliance with investment mandates.
Manage CISCA regulatory compliance activities including submissions to the FSCA.
Oversee regulatory engagement including mandate applications and new CIS fund submissions.
Collaborate with traders and developers on pretrade compliance checks advising on highrisk rules.
Drive client and regulatory reporting including Reg 28 compliance and breach notifications.
Maintain comprehensive compliance records and documentation.
Represent the business at industry forums and workshops.
Coordinate insider notification and personal account trading protocols.
Liaise with trustees on breaches and overdraft alerts.
Proactively escalate unresolved issues to the Head of Compliance and Risk.
Provide ad hoc support to senior compliance leadership.
Requirements:
MustHaves:
A relevant degree related to financial services.
Completion of Regulatory Exams for CAT I and II FSP.
46 years of experience in financial services preferably as a Compliance Officer.
Solid knowledge of CISCA and other financial markets legislation.
NicetoHaves:
FAIS approval as a Compliance Officer for CAT I and II.
Experience working in an asset management or collective investments environment.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
