Compliance and Portfolio Administrator

6 days ago

Cape Town, Western Cape, South Africa a0ae65df-8c4c-43ee-95ff-1dbbae05d83a Full time R40 000 - R60 000 per year

This is a dual role that will support the company's efforts to maintain the highest standards of compliance across its operations while supporting the portfolio managers and clients. These functions are required to be performed accurately and professionally at all times and in accordance with the investment guidelines and the company`s written procedures.

Responsibilities

Portfolio Administration Function

· Fund Accounting

· Daily capturing of trades into the reporting system and liaison regarding the trades

· Daily reconciliation of bank balances (verify, review, and resolve)

· Regular reporting of client portfolios to clients (daily, monthly, quarterly, ad-hoc)

· Daily review and resolution of all administrative queries

· Periodic processing of client withdrawals and contribution notifications per internal procedures

· Preparation and reconciliation of monthly reporting packs

· Responsibility for the client take-on

· Periodic production of audit certificates required by clients

· Query resolution as part of the trade flow process, involving client liaison with traders, brokers, custodians (banks), and portfolio managers

Compliance Function

· Review compliance policies and guide the company in implementing controls to mitigate and manage identified compliance risks.

· Ensure effective implementation of legislation, such as JSE rules and related legislation, FMA, FAIS, FICA, AML, TCF, FATCA, Pension Funds Act, BBBEE and other applicable legislation.

· Support the internal audit process.

· Maintain the FAIS Registered Representative and Key Individual registers for FSB.

· Assist with record retention and collating documents for FAIS.

· Preparation and collation of compliance presentations

· General Compliance Administration

· Prepare and collate compliance presentations, i.e., remodel the FAIS training presentation to reflect the ICM FAIS Policy, exchange rules presentations, etc.

· Facilitate employee training on applicable regulations, company policies and procedures.

· Understand and live organisational values.

· Manage the screening systems used by entering new names, deleting names no longer required to be screened, discounting negative screening hits, and escalating positive hits for further action.

· Identify, assess, and escalate AML and KYC issues.

· Deal with any other compliance-related queries as requested.

Knowledge/Skills/Competencies/Education

· A B.Tech or B.Com degree

· An appreciation for legislation and regulatory frameworks

· No work experience required - training will be provided

· Excellent written, verbal, and interpersonal communication skills

· Strong analytical skills

· Possess a high degree of accuracy and detail orientation

· Strong work ethic, self-motivated, driven and results-oriented.

· Client service orientation

· Enjoys working within a team and can communicate well at all levels

· Flexible, adaptable, and open to multi-tasking

This position will be filled in line with the company's EE policy.

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