Compliance Analyst
2 weeks ago
Our client, a leading global asset manager in Cape Town’s Southern Suburbs, is looking to hire a Compliance Analyst. The position reports to the Compliance Manager and ultimately to the Southern African Group Compliance Officer.
**Primary Job Functions**:
1) Ensure the implementation and maintenance of processes and procedures. These activities will include but not limited to:
a. Regulatory investment limits and Mandate investment reviews and coding.
b. Pre
- and Post-Trade Investment Mandate Breach reporting.
c. Personal Account Trading recording and analysis.
d. Conflicts of Interest Management in line with legislative and group governance requirements (including gifts and entertainments).
e. Best Execution and Segregation analysis over the investment trading activities.
2) Collaborate within the Compliance team and other departments to receive and implement legislative
interpretation in relation to investment activities
3) Monitor and co-ordinate compliance to legislation, company policies and procedures in relation to investment and sales activities based on a set monitoring program.
4) Provide reporting on a regular basis to Compliance Officer around monitoring activities performed
5) Ensure proper reporting to regulatory bodies as required.
6) Collaborate within the Compliance department and with other departments to maintain an effective compliance monitoring and training programme for the organisation.
7) Assist with specific thematic reviews as required by compliance framework plan and management requests.
Basic job requirements
1) Tertiary qualification in commerce / statistics e.g., BCom
2) A minimum of three years working experience in compliance / internal or external audit
3) Experience working on Charles River and Invest One would be an advantage
4) Regulation 28 reporting experience is a pre-requisite
5) Comply with the FAIS Code of Conduct requirements for Compliance staff
6) Excellent verbal and written communication skills
7) Excellent numeracy skills
8) Technical understanding of financial products and instruments
9) Ability to:
a. take initiative and work independently
b. be assertive and self-motivated
c. Pro-actively facilitate and influence key stakeholders
d. build effective relationships externally and internally
e. to tolerate stress
f. work to process
g. be adaptable
h. work accurately
i. Take ownership of driving career development
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