Senior Compliance Officer

2 weeks ago

Southern Suburbs, South Africa Futuregrowth Full time

**Who is Futuregrowth?**

Futuregrowth has been South Africa’s leading developmental, responsible and fixed-income investor for over 25 years. We manage a range of fixed interest and development funds and play a key leadership role in the South African asset management industry. We are committed to investing our clients’ funds in a responsible manner, with the interests of our clients always coming first.

**Purpose of the position**

To assist in the development, implementation and monitoring of a compliance framework across all facets of the business. A key component would be development to fulfill a Compliance Officer role in the medium term.

**Key responsibilities of the position**

1. Reinforcing and embedding an appropriate compliance culture across the business.
2. Managing the development, implementation and maintenance of compliance risk management and monitoring plans.
3. Ensuring that staff comply with applicable legislation across the company, including training to be conducted when required.
4. Keeping up to date and knowledgeable on legislation affecting institutional asset management, specifically:

- Protection of Personal Information Act (POPIA);
- Financial Advisory and Intermediary Services Act; and
- Financial Intelligence Centre Act;
- CISCA
- Regulation 28; and
- Medical Schemes Act

5. Investigating and driving resolution of compliance-related breaches.
6. Drafting compliance reports.
7. Providing an advisory role within the business.
8. Maintaining relevant regulatory registers (e.g., representative register, breach register, etc.).
9. Preparing and presenting compliance reports (e.g., Board reports, regulatory reports, etc.).
10. Drafting and implementing new policies as well as amending existing policies.
11. Serving as a knowledge hub to the business.
12. Looking for innovative compliance solutions and methodologies to implement within the business.
13. Acting as the compliance lead on various projects within the business.
14. Engaging directly with clients, in terms of presentations and due diligences.
15. Collaborating with Omig and OM Compliance to obtain best solutions and manage alignment.

**Skills, know-how and experience**:

- 5 Years’ minimum related experience with most of it preferably in asset management;
- Knowledge of and experience in the following:

- Protection of Personal Information Act (POPIA);
- Financial Advisory and Intermediary Services Act;
- Financial Intelligence Centre Act;
- Pension Funds Act;
- CISCA
- Knowledge of the following would be considered advantageous:

- Financial Markets Act (specifically around Inside Trading); and

**Technical/ professional qualifications**:

- LLB; and
- Certificate in Compliance Management would be an advantage

**Key behaviours and competencies**:

- Problem solving skills;
- Aptitude for building and maintaining relationships;
- Aptitude for teamwork and collaboration;
- Quality orientation (includes attention to detail);
- Ability to be client focused;
- Stress tolerance;
- Good communication skills, both written and verbal;
- Capacity for initiating action;
- Planning and organising skills;
- High work ethic;
- Confidence and the ability to remain independent at all times;
- Curious and wanting to learn;
- Results orientation;
- Collaborates effectively; and
- Integrity.

**Recruitment process

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