Specialist - Investment Compliance Support

5 days ago

Cape Town, South Africa Maitland Group Full time

**Job Advert Summary**:
The Specialist: Investment Compliance Support Services is first and foremost the regulatory specialist in the Investment Compliance Support Services (“ICSS”) team. The role largely entails the interpretation of both mandates and legislation/regulation in order to effectively translate the regulation into a workable compliance rule for monitoring. The role will work closely with the ICSS team to ensure that the interpretation is successfully applied to both the NX Manager platform (enabling pre
- and post-trade compliance) as well as the Compliance Reporting Warehouse. Whilst the primary focus of the role is thus the interpretation of mandates / regulation / legislation, there is also a requirement to have a working knowledge and understanding of the process of converting this interpretation into rules within the technology platform. Therefore strong technical or operational knowledge of investment instruments is required, as well as experience on NX Manager (Decalog) (preferred) or another comparable compliance monitoring system is ideal.**
Minimum Requirements**:

- An accounting or business degree (minimum B.Com or equivalent) together with at least 2-3 years fund administration/management experience in a compliance related role;
- Certificate in Compliance Management;
**Duties and Responsibilities**:

- Support the efforts within the ICSS team in respect of interpreting and documenting legislative, regulatory and mandate compliance requirements;
- Documenting the interpretation of legislative or regulatory changes, in a manner which allows for these documents to be circulated internally at Maitland or externally to clients;
- Monitoring of regulatory changes pending and appropriate planning for these changes, including client communications;
- Rule and monthly regulatory report testing;
- Developing and implementing compliance rules to NX Manager;
- Following of proper test protocol in UAT environment, and change control protocol of rules into the production environment;
- Being pro-active in solution-finding and regularly question processes and “status quo’s” to constantly improve;
- Providing support to the Maitland client base in respect of compliance related queries, including interpretation, breaches, reporting, etc.;
- Build excellent rapport with clients in developing their confidence in our service offering, and maintaining such well managed relationships to achieve the best results for the clients;
- Supporting the business development effort in expanding the Compliance Support Services function;
- Actively strive to live by and operate within the Maitland core values. - Drive and contribute to a culture of quality/excellence, through risk awareness and adherence to compliance standards and operational controls**
Skills and Competencies**:

- Strong numerical and analytical skills to review fund compliance reports in detail and respond to queries. The role requires excellent Excel skill to analyse portfolio exposures and structures and to determine and test required compliance rule output;
- Strong knowledge of the full investment process starting from the portfolio manager’s investment decision through operational process to client reporting;
- Strong knowledge and understanding of the regulatory investment limits dominant in the Republic of South Africa such as Regulation 28, CISCA, Regulation 30, and short-and long-term insurance investment limits;
- Attention to detail and structured work approach;
- Excellent communication and negotiation skills, both written and verbal, as the ICSS team is dependent on downstream operations. The rule requires confident interaction with all areas of the business in order to achieve team tasks;
- Confident, enthusiastic and able to work under pressure;
- Positive attitude.

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