Specialist - Investment Compliance Support Services

2 weeks 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 ICSS team reports both regulatory and bespoke mandate compliance breaches to clients daily on a post-trade basis, and provides the functionality to our clients for monitoring breaches on a pre-trade basis as well. The team also produce certain regulatory holdings reports to clients, run from the data warehouse and enriched with data from both InvestOne and NXManager.

The role requires broad knowledge across the investment and operational cycle. It largely entails the interpretation of both mandates and legislation/regulation in order to effectively translate the regulation into workable compliance rule results, upon which our clients depend for guiding their investment decisions within client mandates and prescribed regulation. The role will collaborate within the ICSS team and other relevant teams 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 investment operations cycle to inform the process of converting the regulatory and mandate interpretation into codeable rules within the technology platform, and to be able to address queries from our clients in respect of rule behaviour. 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 4-5 years fund administration/management experience in a compliance related role;
- Certificate in Compliance Management;
- 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;
- 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 perform team tasks;
- Confident, self-motivated individual and able to work under pressure;
- Positive attitude and dedication.

**Other requirements**

The role will require commitment to completion of tasks for clients that are set by deadlines. This will from time to time require working longer hours.

**Duties and Responsibilities**:
The **Specialist: Investment Compliance Support Services** will be expected to:

- Assist with daily post-trade reporting and monthly compliance reporting (Reg28 and Reg30) and troubleshooting classification issues.
- Continually cleaning static data to support daily monitoring and monthly report integrity.
- Attend to your allocated client queries during the day within SLA timeframes, and to generally support all client queries as and when required.
- Perform monthly preparation checks to ensure sound and consistent instrument and issuer classifications for monthly reporting.
- Monitoring of regulatory changes pending and appropriate planning for these changes, including client communications.
- 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.
- 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;
- Supporting the business development effort in expanding the Compliance Support Services function.
- Actively strive to live by and operate within the Maitland core values.
- Build excellent rapport with clients in developing their confidence in our service offering, by understanding their requirements fully, and maintaining such well managed relationships to achieve the best results for the clients.
- Providing support to the Maitland client base in respect of compliance related queries, including interpretation, breaches, reporting, etc.
- Support the efforts within the ICSS team in respect of interpreting and documenting legislative, regulatory and mandate compliance requirements.
- Developing, coding, and implementing compliance rules to NX Manager.
- Continually reviewi

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