Junior Compliance Officer

1 day ago

Johannesburg, South Africa Milton Resourcing Full time

Rendering daily mandate compliance checks, communicating breaches to Portfolio Managers and monitor the clearance thereof.
- Load and create new mandate rules in the compliance system. Update mandate tables for the product/business development team.
- Compile monthly compliance reports for both clients and our internal EXCO or management meetings.
- Liaise with the FSCA for all queries and submission of all information required from the FSP for compliance purposes. Update FSPs FSCA profiles with all regulatory requirements and act as a liaison between the FSP and External Compliance Officer.
- Work with Legal and/or External Compliance Officer on Investment Management Agreements and Mandates for new clients, existing clients, and new product/mandate to be approved by the regulator.
- Manage the FIC Profiles and update the business and External Compliance Officer on all relevant communication and directives issued.
- Work with Legal and/or External Compliance Officer for all company and regulatory policy updates and formulation

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