Investment Management Compliance Officer

1 week ago

Sandton, South Africa Ashburton Fund Managers (Pty) Ltd Full time

Job Summary

Ashburton Fund Managers (Pty) Ltd is seeking a highly skilled Compliance Manager to oversee the compliance function for our international investment management arm. The ideal candidate will have robust experience in both local South African regulations and key international regulations, particularly in EU and/or UK.

Key Responsibilities

  • Ensure adherence to local EU, UK regulations as well as South African regulations and other international standards.
  • Develop, maintain, and update compliance policies and procedures in line with local and international regulatory requirements.
  • Manage investment compliance monitoring (pre and post trade compliance).
  • Liaise with internal and external stakeholders to ensure all compliance-related issues are handled efficiently and with minimal disruption to business operations.
  • Provide ongoing advice and guidance to senior management, portfolio managers, and other key stakeholders on regulatory changes and their implications.
  • Monitor regulatory developments and ensure the business is prepared for upcoming changes in relevant jurisdictions.
  • Engage with and manage relationships with external regulatory bodies and service providers, including external consultants and legal advisors.
  • Ensure that the business meets all its reporting obligations to regulatory authorities in the jurisdictions of operation.
  • Work closely with other departments, including legal, risk, and operations, to ensure a seamless approach to compliance across the organisation.
  • Facilitate training and awareness sessions on compliance-related matters for staff.

Requirements

  • Completed a Bachelor's degree in law, Finance, Compliance or Risk or a related field.
  • At least 8 years of experience in a compliance or legal role, with direct exposure to investment management.
  • Strong knowledge of South African and International (EU, UK) regulatory frameworks.
  • Proven experience working with international regulations, including EU and/or UK financial regulations.
  • Specific experience with regulations in Luxembourg and/or Jersey is highly advantageous.
  • Deep understanding of and experience with key regulations, including MiFID II, EMIR, UCITS Directives, AIFMD, and other relevant regulations.
  • Ability to work independently and take initiative in a fast-paced, international environment.
  • Excellent communication skills and the ability to collaborate effectively with both internal teams and external regulatory bodies.
  • Proven ability to work with subject matter experts and other resources to resolve complex compliance matters.
  • Strong analytical skills and the ability to translate complex regulatory requirements into clear, actionable compliance steps.

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