Investment Compliance Specialist

1 week ago

Gauteng, South Africa Huvest People Solutions Full time

**ROLE PURPOSE**

SPECIFIC REQUIREMENTS

A relevant degree (BCom with specialization in finance or investments, or BCom Law, or LLB with relevant compliance experience) and/or compliance qualification(s) is a must.

BCom Honors, MBA, CFA, and Post Graduate Diploma in Compliance will be an added advantage.

In-depth knowledge of Investment Securities / Investment Markets is a pre-requisite.
- Insurance Act;
- Long-Term Insurance Act,
- Short-Term Insurance Act,
- Pension Funds Act - Reg 28,
- Collective Investment Schemes Act and applicable regulations and Board Notices specifically BN 90;,
- ASISA Codes, Standards and Guidelines,
- Medical Schemes Act - Reg 30,
- any other appropriate legislation,
- Internal limits

Experience to the majority of the above-mentioned would be a requirement; however, experience to all of the above-mentioned would be of an advantage.

Comply with the relevant FAIS honesty and integrity requirements and any other additional requirements from FAIS perspective in relation to compliance roles.

**ROLE OUTPUTS**

**PROVIDING ASSURANCE**

To provide assurance on the level of investment compliance within the client, in respect of the portfolio universe specifically assigned to this role, to all relevant stakeholders. In order to achieve this, the following activities will be required:
Initiate and contribute to the review of, and properly maintain the Investment Compliance Requirement Universe for the client, in respect of the portfolio universe specifically assigned to this role, in order to ensure the accuracy and completeness of this universe. In order to achieve this, all relevant investment limitations applicable (new and/or amended) must be: identified; appropriately classified and risk rated; documented; properly linked to the relevant client account(s); and appropriately maintained on the compliance systems employed by the client.

Initiate and contribute to the review of all critical Investment Compliance policies on at least an annual basis, in respect of the areas specifically assigned to this role. Once the necessary amendments, if any, have been made, the policy(ies) must be submitted to the Chief Risk Officer and submission to the appropriate forum for approval. In addition, the Investment Compliance Policy Register must be appropriately maintained.

Participate in the review and/or development of an appropriate Investment Compliance Monitoring Plan in order to ensure completeness and accuracy. In order to achieve this, rules for all relevant investment limitations applicable, in respect of the portfolio universe specifically assigned to this role, must be monitored on an appropriate regular frequency on a post-trade basis, and where appropriate and practical, on a pre-trade basis.

Contribute to, implement and maintain, where appropriate in respect of the areas specifically assigned to this role, the regulatory compliance breach management and follow-up process which will at a minimum address the identification, analysis and resolution processes to be followed as well as the escalation procedures.

Contribute to, implement and maintain, where appropriate in respect of the portfolio universe specifically assigned to this role, the process to ensure that the reporting of compliance activities and instances of non-compliance, both internal and external, are relevant, complete, accurate and to the point, and submitted on time.

Contribute to, and maintain, where appropriate in respect of the portfolio universe specifically assigned to this role, an appropriate oversight function in respect of any activities outsourced, and/or in respect of any independent investment compliance function(s) performed by any legal entities within the client.

Contribute to, initiate and maintain, where appropriate, in respect of the portfolio universe specifically assigned to this role, regular Interaction with internal and external stakeholders as well as the wider compliance community within the client. Stakeholders include, amongst others, the following: Regulators, Supervisors, Industry bodies, Audit, Clients, etc.

Contribute to the initiation and/or participate in the appropriate implementation of critical statutory projects relevant to Investment Compliance.

**PROVIDING SUPPORT SERVICES**

To provide support services to all relevant stakeholders within the client (Value Add), in respect of the areas specifically assigned to this role.

Contribute to, initiate and/or provide appropriate awareness and training in respect of the areas specifically assigned to this role. Activities may include, amongst others, informing the business of new investment compliance requirement developments, providing guidance on the potential impact thereof, and to identify compliance risks/weaknesses in general for which the business should consider additional mitigating action, or processes and/or procedures.

Contribute to, initiate and/or provide professional advice and guidance to business as may be requi

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