Assistant Compliance Officer

7 months ago

Cape Town, South Africa Futuregrowth Full time

**FUTUREGROWTH ASSET MANAGEMENT IS RECRUITING**
We have an exciting opportunity available for an **Assistant Compliance Officer **in our
Compliance team.
- Futuregrowth is committed to transformation. A strong preference will be given to _

**Assistant Compliance Officer**
Are you passionate about calculations and analysis and are you seeking a rewarding
career in fiduciary asset management? Do you have strong communication and
interpersonal skills? Are you highly organised and adaptable, with a strong ethical base?
Then this position is for you

**Who is Futuregrowth?**
Futuregrowth has been South Africa’s leading developmental, responsible and fixed
- income investor for over 25 years. We manage a range of fixed interest and development
funds and play a key leadership role in the South African asset management industry. We
are committed to investing our clients’ funds in a responsible manner, with the interests
of our clients always coming first.

**Purpose of the position**
To assist in the development, implementation and monitoring of a compliance
framework across all facets of the business. A key component would be development to
fulfill a Compliance Officer role in the medium term.

**Key responsibilities of the position**

1. Assisting in reinforcing and embedding an appropriate compliance culture across the

business.

2. Assisting in the development, implementation and maintenance of compliance risk
management and monitoring plans.

3. Ensuring that staff comply with applicable legislation across the company, including
training to be conducted when required.

4. Keeping up to date and knowledgeable on legislation affecting institutional asset
management, specifically:

- Protection of Personal Information Act (POPIA);
- Financial Advisory and Intermediary Services Act; and
- Financial Intelligence Centre Act.

5. Facilitating investigation into, and resolution of, compliance-related breaches.

6. Drafting relevant breach reports.

7. Addressing ad hoc compliance queries.

8. Maintaining relevant regulatory registers (e.g., representative register, breach register,
etc.).

9. Preparing compliance reports (e.g., Board reports, regulatory reports, etc.).

10. Monitoring trades on Charles River.

11. Drafting Investment Guidelines.

12. Drafting policies.

**Knowledge and experience required**

**Skills, know-how and experience**:_ _**:

- 2 - 5 Years’ related experience with most of it preferably in asset management;
- Knowledge of and experience in the following:

- Protection of Personal Information Act (POPIA);
- Financial Advisory and Intermediary Services Act;
- Financial Intelligence Centre Act;
- Knowledge of the following would be considered advantageous:

- Financial Markets Act (specifically around Inside Trading); and

advantageous.

**Technical/ professional qualifications**:

- LLB or in the process of studying towards an LLB qualification; and
- Certificate in Compliance Management would be an advantage.

**Key behaviours and competencies**:

- Problem solving skills;
- Aptitude for building and maintaining relationships;
- Aptitude for teamwork and collaboration;
- Quality orientation (includes attention to detail);
- Ability to be client focused;
- Stress tolerance;
- Good communication skills, both written and verbal;
- Capacity for initiating action;
- Planning and organising skills;
- High work ethic;
- Confidence and the ability to remain independent at all times;
- Curious and wanting to learn;
- Results orientation; and
- Integrity.

2

**Recruitment process and closing dates**
activities and a psychometric assessment.

**Contact details**

3

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