Head of Compliance and Operations

3 weeks ago

Cape Town, South Africa C40 Cities Full time

An exciting opportunity has arisen for a seasoned professional to take on the role of Head of Compliance Operations. This is a senior position within a leading global alternative investment manager, with important responsibilities to maintain and improve upon the integrity and professionalism of their Compliance Operations.

As Head of Compliance Operations, you will be instrumental in establishing a new Compliance Operations team. Your role will involve taking ownership of key policies related to information management, conducting reviews, onboarding trading counterparts, developing new business strategies, supporting compliance teams, onboarding senior advisors, and providing training to employees.

Key Responsibilities:

- Play a key role in appropriate management and control of material non-public information (MNPI)
- Manage Expert Networks by maintaining a list of approved firms, reviewing call requests, and addressing any issues
- Monitoring Code of Ethics and other conflicts of interest policies
- In due course, you will take over the regulatory reporting and anti-money laundering functions in Cape Town
- Create and enforce information barriers, ethical guidelines, allocate funds and resources across platforms
- Perform relevant reviews of wall crossing requests and ensure that appropriate records are maintained
- Undertake onboarding of trading counterparties and trading platforms
- Evaluating employee conflicts of interest in line with policies and procedures
- Identify and report non-compliance regarding policies on ethics, personal account trading, market conduct, and information barriers
- Support regional and platform Compliance teams with CMP (Compliance Monitoring Programme) testing
- Updating and managing Governance, Risk and Control system (GRC)
- Support other reporting including Quarterly flash reports, Monthly flash reports, MLRO reports, Risk Assessment Report, SMCR Report, etc.

The ideal candidate for this Head of Compliance and Operations role will bring proven professional experience within financial institutions. You should have prior experience leading compliance monitoring or surveillance teams.

Minimum Requirements:

- Hold a South African or international accountancy, compliance, risk, and financial analysis professional qualification/certificate
- 8-10 years’ experience in a financial control room, compliance monitoring, surveillance monitoring team in a financial institution
- Experience in an Investment Bank, Securities Bank, Brokerage, Wholesale Bank, or Alternative Asset Manager
- Prior leadership roles in a similar Head of Operations or Head of Control Room
- Experience in centralising and integrating various Compliance systems
- Strong digital skills, particularly data skills to extract, consolidate, and analyse data from disparate systems
- Collaborative and inclusive approach to working with colleagues
- Strong attention to detail

What sets this company apart:

This is a chance to join a leading global alternative investment manager. They value the benefits of having a diverse team and are committed to providing flexible working arrangements. This is an opportunity not only to develop your career but also to contribute to the integrity and professionalism of their Compliance operations.

What's next:

Please note for the Head of Compliance Operations, it is imperative to meet the abovementioned criteria.

Ready for the next step in your career? Apply now for this exciting opportunity

Apply Today by clicking on the link

Job Details:

Contract Type: FULL_TIME

Focus: Private Equity

Workplace Type: Hybrid

Location: Cape Town

Industry: Financial Services

Salary: Negotiable

Job Reference: 8QA33C-281CA2E4

Date posted: 04 October 2024

Consultant: Cindy Duplessis

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