Investment Compliance Specialist

2 days ago

Centurion, South Africa Momentum Metropolitan Holdings Full time

-Introduction

Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations.
Role Purpose

Ensure the implementation and maintenance of processes and procedures in order to provide assurance on the level of investment compliance within Momentum Investments, in respect of the various statutory, supervisory, internal and client mandatory investment limitations that may be applicable to portfolios managed and administered by the various legal entities.
Requirements
- A relevant degree (BCom with specialisation in finance or investments, or BCom Law, or LLB with relevant compliance experience) and/or compliance qualification(s) is a must.
- Regulation 28 reporting experience is a pre-requisite
- A BCom Honours, MBA, CFA, or Post Graduate Diploma in Compliance will be an added advantage.
- Retirement Fund environment (Pension Funds Act - Reg28)
- Long-Term Insurance Act
- Short-Term Insurance Act
- Pension Funds Act-Reg 28
- Collective Investments Schemes Act
- Collective Investment Schemes environment (CISCA - BN90)
- ASISA Codes, Standards and Guidelines
- Medical Schemes Act - Reg 30
- Internal limits, and Client Mandatory Limits
- LISP environment
- Asset Management environment
- Long-Term Insurance environment
- Any other appropriate legislation
- Comply with the FAIS honesty and integrity requirements.
- Not be an un-rehabilitated insolvent, have entered into a compromise with a creditor, or have been provisionally sequestrated or liquidated.
Duties & Responsibilities

Providing Assurance

In order to achieve the purpose of the role, the following activities will be required:

- Initiate and contribute to the review of, and properly maintain the Investment Compliance Universe for Momentum Investments specifically assigned to this role, in order to ensure the accuracy and completeness thereof. 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 various compliance systems employed by Momentum Investments.
- 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 Head of Compliance and Risk Attribution for review 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 the 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 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 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 Momentum Investments.
- Contribute to, initiate and maintain regular Interaction with internal and external stakeholders as well as the wider compliance community within the MMI Group. Stakeholders include, amongst others, the following: Regulators, Supervisors, Industry bodies, Internal & External 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 Momentum Investments (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 on Momentum Investments, and to identify compliance risks/wea

  • Investment Administrator Intern

    7 months ago

    Centurion, South Africa Investment Management Full time

    **Introduction** Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. **Role Purpose** Provide portfolio...

  • Investment Specialist

    7 months ago

    Centurion, South Africa Land Bank Careers Full time

    **Job Advert Summary**: The Land and Agricultural Development Bank of South Africa (Land Bank) is South Africa’s only specialist agricultural bank established in 1912, the bank’s sole objective is to serve South African commercial and emerging farmers and bring specially designed financial services within their reach. These services enable farmers to...

  • Investment Specialist

    3 months ago

    Centurion, South Africa Six Sense Full time

    A well-established business is seeking to appoint an Investment Specialist Investment Specialist is to support the Head: Actuarial Short Term & Life with asset-liability management studies, asset-liability matching exercises, liquidity risk measurement, credit risk analytics, and market risk modelling and investment functions, including market risk capital...

  • Investment Specialist

    4 hours ago

    Centurion, South Africa Secondments Recruitment Full time

    **Job Advert Summary**: - The role of the Investment Specialist is to support the Head: Actuarial Short Term & Life with asset-liability management studies, asset-liability matching exercises, liquidity risk measurement, credit risk analytics, and market risk modelling and investment functions, including market risk capital requirement tools and models. -...

  • Head: Compliance

    7 months ago

    Centurion, South Africa Momentum Investments Full time

    **Introduction** **Role Purpose** We are seeking a highly experienced and dynamic Head of Compliance to join our reputable financial services company, specializing in investments and savings. As the Head of Compliance, you will play a critical role in ensuring that our organization adheres to all relevant regulatory rules, regulations, and policies. This...

  • Regulatory Compliance Specialist: Cisca

    7 months ago

    Centurion, South Africa Momentum Investments Full time

    **Introduction** Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. **Role Purpose** The purpose of this...

  • Regulatory Compliance Specialist

    7 months ago

    Centurion, South Africa Momentum Investments Full time

    **Introduction** Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. **Role Purpose** The purpose of this...

  • Investment Analyst

    7 months ago

    Centurion, South Africa Momentum Investments Full time

    **Introduction** - Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. We help people grow their savings,...

  • Head: Responsible Investing

    3 months ago

    Centurion, South Africa Momentum Investments Full time

    **Introduction** - Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. We help people grow their savings,...

  • Service Manager: Specialised Investments

    7 months ago

    Centurion, South Africa Momentum Investments Full time

    **Introduction** - Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations.- **Role Purpose** - As the Service...

  • Compliance Specialist

    1 month ago

    Centurion, South Africa Six Sense Full time

    A well-established business is seeking to appoint a Compliance Specialist. To support the Compliance Officer and the Head of the Compliance Control Function in ensuring that the organisation complies with all relevant statutory, regulatory and supervisory requirements which relate to the Insurance, Operational Standards as well as policies and...

  • Chief Investment Officer

    2 days ago

    Centurion, South Africa Momentum Investments Full time

    **Introduction** Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. **Role Purpose** Provide the strategic...

  • Specialist Compliance Risk

    4 hours ago

    Centurion, South Africa Six Sense Full time

    Gauteng, Centurion Annually Cost To Company (Market related) A well-established business is seeking to appoint a Specialist Compliance Risk To identify and assess regulatory compliance risks, and ensure monitoring through appropriate compliance systems and processes and further provide compliance advice throughout the company. **Qualifications &...

  • Investment Portfolio Manager

    6 days ago

    Centurion, South Africa Multiform Human Development Full time

    **Remuneration**: The remuneration and value proposition to be compiled in collaboration with each successful individual. **Nature of employment**: The successful incumbent will be employed on a permanent basis after completion of a probationary period. **Experience** The successful incumbent will have at least three (3) to five (5) years experience as an...

  • Alternative Investments Analyst

    3 weeks ago

    Centurion, South Africa Momentum Investments Full time

    **Introduction** - Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. We help people grow their savings,...

  • Investment Solutions Leader

    3 weeks ago

    Centurion, Gauteng, South Africa The Recruitment Council Full time

    Investment Solutions ManagerThe Recruitment Council is seeking a highly skilled and experienced Investment Solutions Manager to lead our investment solutions team. As a key member of our team, you will be responsible for developing and implementing investment strategies and solutions that meet the needs of our clients.Key Responsibilities:Implement financial...

  • Junior Investment Operations Specialist

    1 week ago

    Centurion, South Africa Group Finance Full time

    **Introduction** Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations. We help people grow their savings,...

  • Investment Operations Specialist

    7 months ago

    Centurion, South Africa Group Finance Full time

    **Introduction** - Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations.We help people grow their savings,...

  • Compliance Specialist

    2 months ago

    Centurion, South Africa AVBOB Full time

    Development and implementation of the Business Unit - Take overall responsibility for compiling and maintaining compliance risk universe documents for the business units. - Effectively interpret legislation and provide practical advice with regard to interpretations, while maintaining appropriate (second-line of defence) independence from business unit -...

  • Investment Product Development Manager

    6 days ago

    Centurion, South Africa OUTVest Full time

    Company Description OUTsurance has been propelling the South African insurance industry forward for the last 24 years. As leaders in the field, we’re always looking for innovative ways to create digitally-advanced solutions, without losing sight of our human values. OUTvest is a subsidiary of the OUTsurance group. In this original fintech company, where...