Compliance Officer with Control Room Focus

7 days ago

Sandton, South Africa Investec Full time

Job Summary

The Compliance Control Room is a critical function within Investec, responsible for identifying and managing conflict of interests and mitigating market abuse. We are seeking a highly skilled Compliance Officer to join our team and contribute to the advisory role of consumer protection and Conduct related legislation.

Key Responsibilities

  • Conduct conflicts checks of the Group's transactions and manage/escalate any identified actual or potential conflict of interests.
  • Identify and manage employee conflict of interests, including Personal Account (PA) Dealing, Outside Business Interests/Employee Participation, and Gifts & Entertainment.
  • Facilitate and manage Wall Crossing requests.
  • Maintain the Group's Watch and Restricted Lists.
  • Maintain the Group's Insider/Confidentiality Lists.
  • Maintain the Group's permanent insider lists.
  • Compile and review the required Institutional Research disclosures/disclaimers.
  • Assist with the creation and maintenance of Compliance Control Room policies and procedures.
  • Coordinate and deliver continuous Compliance Control Room training/awareness on key policies and procedures.
  • Compile and submit regulatory holdings disclosures (Companies Act, Takeover Panel, etc.).
  • Conduct Compliance monitoring and maintain/update the Conflict of Interests Risk Framework.
  • Process all queries and requests within the Compliance Control Room's agreed turnaround times and regulatory requirements.
  • Assist with ad-hoc and scheduled Audit/Regulatory requests and investigations.
  • Compile ad-hoc and scheduled MIS and team statistics.
  • Compliance Control Room recordkeeping and data capturing.
  • Assist the Conduct Regulatory Specialist with specific assigned tasks.
  • Assist with the implementation and testing of new IT systems and applications.

Requirements

  • 3-5 years experience in a trading environment of a financial services company (securities trading or treasury/capital markets); or
  • Background in compliance (financial markets and consumer protection), operations, or administrative (back office) areas of a financial services company (local or international); or
  • Legal or financial degree or similar (not essential if necessary experience is in place)
  • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules;
  • Investment Banking Product knowledge;
  • Compliance Management in accordance with international best practice requirements
  • Cultivate a strong relationship with Business which results in business proactively seeking Compliance involvement (local and global);
  • Support and maintain strong team dynamics and culture;
  • Actively promote the Compliance Control Room/Compliance;
  • Be able to communicate on all levels, including with senior management in the global business units, as well as the Business Compliance Officers;
  • Be able to challenge possible non-compliance in a firm and professional manner;
  • Reports to Line Management;
  • Proactively and pragmatically addresses business issues by finding solutions in a 'Can Do' manner;
  • Support and maintain strong team morale and a pro-active and positive culture.

Advantageous

  • Control Room experience
  • Certificate in Compliance Management;
  • Working knowledge of financial markets and consumer protection
  • UK FCA COBS Handbook and SA/UK Take-over panel regulations knowledge

Personal Competencies

  • Self-starter and team player;
  • Self-motivated and professional;
  • Be able to work and maintain confidence under pressure;
  • Can be relied on to deliver consistently to a high standard;
  • Enthusiastic and willing to continuously learn and seek opportunities and challenges;
  • Continually seeks to improve the way things are done, proposing innovative solutions;
  • Prepared to undertake large volumes of administrative/manual tasks;
  • Be able to think analytically and logically;
  • Attention to detail;
  • Good communication skills – oral and written;
  • Good presentation skills;
  • Assertiveness and conflict management skills;
  • Driven to resolve issues in a timely, effective, ethical, and professional manner;
  • Understand and appreciate the impact of non-delivery or substandard performance;
  • Commercial awareness.

Investec Culture

At Investec, we value individuals who share our passion for excellence, integrity, and innovation. We are committed to diversity and inclusion, and we strive to create a work environment that is inclusive, respectful, and supportive of all employees. If you are a motivated and talented individual who is passionate about compliance and regulatory affairs, we encourage you to apply for this exciting opportunity.

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