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Senior Investment Compliance Specialist
2 weeks ago
-Introduction
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/weaknesses in general for which the business should consider additional mitigating action, or processes and/or procedures.
- Initiate and/or provide professional advice and guidance to business as may be required/requested from time to time, in respect of the areas specifically assigned to this rol
