Compliance Officer with Control Room focus

1 week ago

Sandton, South Africa Investec Full time

Description

The Compliance Control Room is primarily responsible for the identification/ management of conflict of interests and mitigation of market abuse.

The Conduct function is responsible for the advisory role of consumer protection and Conduct related legislation. The current focus is on the roll-out of the Financial Sector Regulation Act, Treating Customers Fairly regime (including the Retail Distribution Review), and preparation and eventual roll-out of the Conduct of Financial Institutions Act and associated standards. 

Key Responsibilities of the role include:

Conduct conflicts checks of the Group's transactions and manage / escalate any identified actual or potential conflict of interests. This requires the ability to investigate and understand complex investment banking transactions; Identify and manage employee conflict of interests, including but not limited to Personal Account (PA) Dealing, Outside Business Interests / Employee Participation and Gifts & Entertainment; Facilitate and manage Wall Crossing requests; Maintain the Group's Watch and Restricted Lists; Maintain the Group's Insider / Confidentiality Lists; Maintain the Group's permanent insider lists; Compile and review the required Institutional Research disclosures / disclaimers; Assist with the creation and maintenance of Compliance Control Room policies and procedures; Coordinate and deliver continuous Compliance Control Room training/awareness on key policies and procedures; Compile and submit regulatory holdings disclosures (Companies Act , Takeover Panel etc.); Conduct Compliance monitoring and maintain/update the Conflict of Interests Risk Framework; Process all queries and requests within the Compliance Control Room's agreed turnaround times and regulatory requirements. The candidate must be driven to resolve Compliance Control Room issues in a timely, effective, ethical and professional manner; Assist with ad-hoc and scheduled Audit / Regulatory requests and investigations; Compile ad-hoc and scheduled MIS and team statistics; Compliance Control Room recordkeeping and data capturing; Assist the Conduct Regulatory Specialist with specific assigned tasks. Assist with the implementation and testing of new IT systems and applications.

Experience, skills and capability

3-5 years experience in a trading environment of a financial services company ( securities trading or treasury / capital markets); or Background in compliance (financial markets and consumer protection), operations or administrative (back office) areas of a financial services company (local or international); or Legal or financial degree or similar (not essential if necessary experience is in place) Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules;  Investment Banking Product knowledge; Compliance Management in accordance with international best practice requirements Cultivate a strong relationship with Business which results in business proactively seeking Compliance involvement (local and global); Support and maintain strong team dynamics and culture;  Actively promote the Compliance Control Room/ Compliance;  Be able to communicate on all levels, including with senior management in the global business units, as well as the Business Compliance Officers;  Be able to challenge possible non-compliance in a firm and professional manner; Reports to Line Management;  Proactively and pragmatically addresses business issues by finding solutions in a ‘Can Do' manner;  Support and maintain strong team morale and a pro-active and positive culture.

Advantageous

Control Room experience Certificate in Compliance Management;  Working knowledge of financial markets and consumer protection UK FCA COBS Handbook and SA/UK Take-over panel regulations knowledge

Personal competencies 

Self – starter and team player; Self-motivated and professional;  Be able to work and maintain confidence under pressure;  Can be relied on to deliver consistently to a high standard;  Enthusiastic and willing to continuously learn and seek opportunities and challenges; Continually seeks to improve the way things are done, proposing innovative solutions;  Prepared to undertake large volumes of administrative / manual tasks; Be able to think analytically and logically;  Attention to detail; Good communication skills – oral and written;  Good presentation skills;  Assertiveness and conflict management skills;  Driven to resolve issues in a timely, effective, ethical and professional manner;  Understand and appreciate the impact of non-delivery or substandard performance; Commercial awareness.

Investec Culture 

At Investec we look for intelligent, energetic people filled with passion, integrity and curiosity. We value individuals who in turn value our culture that is, a flexible attitude comfortable to live with ambiguity and willing to challenge the status quo. Diversity, talent and leadership are respected in pursuit of the growth of our business. People who can manage themselves and build strong relationships in order to get things done, will perform in out of the ordinary ways in our environment. 

We are committed to diversity and inclusion when recruiting internally and externally. 


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