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Operational Compliance Officer

2 weeks ago

Cape Town, South Africa Fund Manager Full time

OPERATIONAL COMPLIANCE OFFICER (CAPE TOWN)

Looking for a dynamic, passionate and results driven operational compliance officer with Collective Investment Scheme (CIS) experience and knowledge to join our team. This individual needs to be confident and willing to get involved in every aspect of the business where required.

ROLE AND RESPONSIBILIES:

- Reviewing and ensuring that marketing material is compliant with applicable legislation. Submit and review MDD’s.
- Fulfil the role of Money Laundering reporting officer.
- Work closely with the Money Laundering Compliance Officer and provide contribution into the embedment of the Risk Management and Compliance Program.
- Assisting with FICA related queries and managing a dedicated compliance mailbox.
- Perform AML Due diligence on third party Managers.
- Providing input into entity due diligence questionnaires. Complete AML questionnaires in relation to external parties, including for offshore parties.
- Perform ongoing monitoring reviews on activities performed by outsourced partners and produce finalised reports for all monitoring reviews conducted.
- Work closely with Investment Managers in the development of new funds, ensuring that appropriate process is followed and that new funds comply with regulatory requirements.
- Engage with portfolio managers and business on compliance matters.

REQUIRED QUALIFICATIONS AND EXPERIENCE:

- LLB or relevant degree
- Certificate/Diploma in Compliance Management
- Member of the Compliance Institute
- Registration with the FSCA as Category I/II Compliance Officer
- Minimum of 3 years’ experience in a compliance environment within CIS space
- Strong understanding and knowledge of CISCA

**Job Types**: Full-time, Permanent

Application Question(s):

- Are you registered with the FSCA as Category I/II Compliance Officer?

**Education**:

- Bachelors (required)

**Experience**:

- compliance within CIS space: 3 years (required)