Compliance Analyst

1 week ago

Johannesburg, South Africa Edge Growth Full time

**Job purpose**:
In this role you will be responsible for ensuring that appropriate processes, systems and structures are in place to manage compliance with the Company’s regulatory obligations.

**Reports to**: Head of Operations

**Reportees** **(position)**: Fund Administrator

**Core activities**:
**Compliance Management**
- Manage and support the Head of Compliance with the implementation of regulatory compliance across the various Funds.
- Drive and manage annual Compliance rhythms.
- Manage signing and storage of Compliance related agreements.
- Support the management of legal opinions.
- Create and manage effective action plans in response to audit discoveries and Compliance violations.
- Conduct annual updates and reviews on existing Compliance Policies.
- Attendance and representation at all applicable Fund forums.
- Regularly audit company procedures, practices, and documents to identify possible weaknesses or risk.
- Ensure all employees are educated on the latest regulations and processes.
- Manage FICA requirements across the Funds, including but not limited to conducting monitoring exercises across the Funds.
- Familiarise yourself with our KYC solution, Docfox and assist employees on an on-going basis.
- Manage the FAIS Competence Register, including the registration and removal of Reps and KIs.
- Evaluating, monitoring and reporting on the compliance risks across the business and mitigating identified risks, ensuring full compliance with all applicable regulations, company policies and best practices.
- Drive compliance awareness by encouraging a compliance culture across the business.
- Escalating material / significant compliance / non-compliance issues, i.e., irregular activities and/or potential issues in policies or systems to the Compliance Team and the affected stakeholders within the business.
- Effectively working to ensure that all company activities are compliant with applicable regulations, current laws and policies.

**Corporate Governance**
- Provide governance support across the various Funds as and when required.
- Provide company secretarial (CIPC) support to the Ventures team and Funds as and when required.
- Provide Board and Corporate Governance support to the Ventures team and Funds as and when required.
- Manage the Compliance Centre of Excellence for Corporate Governance.
- Interface with key stakeholders on any ad hoc communications.

**Project Management**
- Manage the post integration set up of new funds.
- Support the Head of Compliance with the set up of new Funds.
- Prepare for and manage strategic Compliance events.

**Compliance Process Optimisation**
- Understand Compliance policies and procedures.
- Suggest improvements to Compliance processes and implement improved processes.

**General Reporting**
- May be required to provide information to the Fund and/or Functional Heads from time to time.

**Requirements**:
**Qualifications and Experience**:

- B Comm/LLB, finance, business administration or a related field
- At least 3 - 4 years’ experience in compliance within the financial services industry
- 3 - 4 years in the financial services sector, preferably in a Compliance related role
- Client and stakeholder relationship management experience favourable.
- Knowledge of legal and regulatory requirements and controls (e.g. Anti-Money Laundering, FICA, FAIS, POPIA, Companies Act, King IV)

**Benefits**

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