Head of Compliance

2 months ago

Cape Town, South Africa Arvo Full time

Job Title: Head of Compliance

About Our Client

Our client is a trusted investment partner with investment capabilities spanning global, private, and listed asset classes. They continually strive for investment excellence and to deliver high-quality returns to their investors, a mission they have upheld since their inception in 2003.

At the heart of everything our client does is the purpose of enriching the lives of all stakeholders. They believe that their business is a tool enabling them to help each stakeholder, through their dealings, be in a better position to live their individual or collective callings.

They deliver on this purpose through five core values: Excellence, Integrity, Growth, Real Relationships, and Family. They strive to live these values every day and trust that these values will drive every action or decision made in the best interest of all stakeholders.

The Role

Enrich the lives of all stakeholders by contributing to the organisation's growth and success while deepening relationships with various stakeholders. Our client is a leading financial services firm committed to delivering exceptional investment solutions.

The team works closely with Portfolio Managers, the Distribution Team, the Risk Team, the Trading Desk, and external service providers to maximise the business’s impact through collaboration and shared expertise. The role requires a deep understanding of financial markets to create an efficient, responsive, and process-driven compliance team. The Head of Compliance will report to the Head of Legal and work closely with all teams within the business.

Main Duties and Responsibilities:

Process:

  • Draft new policies required under new/amended regulations.
  • Responsible for implementing and monitoring adherence to company policies.
  • Annual review and update of company policies.
  • Review new regulatory developments, summarise and present regulations to the legal team and/or board of directors.
  • Develop processes and systems to monitor adherence to company policies.
  • Draft and implement a marketing policy addressing the requirements for marketing different products in various jurisdictions.
  • Responsible for the submission of all regulatory reports.
  • Serve as the main contact point for outsourced compliance officers.
  • Research marketing restrictions of funds and/or individuals in various jurisdictions and prepare process documents.
  • Ensure compliance with FAIS, POPIA, FICA, and assist with ad hoc queries related to CISCA permissible instruments or other regulatory limits.
  • Oversee compliance record-keeping, registers, and filing systems.
  • Manage and oversee the work of junior compliance analysts.
  • Handle all other compliance matters.

People:

  • Share and transfer product, process, and systems knowledge to colleagues.
  • Collaborate and work with internal teams to deliver required service levels.
  • Ensure the achievement of personal performance objectives.
  • Share information with other team members regarding successes, issues, trends, and ideas.
  • Participate in professional development and career path progression.

Ideal Qualifications:

  • Must have a legal degree.

Ideal Experience:

  • 5-10 years of experience in a related role within the financial services industry (preferably in fund management).
  • Must be able to draft company policies and interpret local and international laws.

Competencies and Desired Attributes:

  • Strong organisational skills and attention to detail.
  • Ability to problem-solve and work independently.
  • Proactive approach in anticipating and addressing issues.
  • Detail-oriented, ensuring accuracy and thoroughness in all tasks.
  • Output-focused with a commitment to understanding and meeting stakeholder needs.
  • Collaborative in managing relationships with internal teams and external stakeholders.
  • Exceptional verbal and written communication skills, with the ability to engage confidently with teams and stakeholders.
  • Proficiency in Microsoft Office Suite (PowerPoint, Excel, Word).

Location: Bellville.

Salary offered: R75 000-R83 000 CTC per month, depending on experience.

Type: Full time permanent position, based in office.

 

Please apply online and if you are a suitable candidate, ARVO recruiters will be in contact.

Please consider your application unsuccessful if you are not contacted by ARVO recruiters within 4 weeks of applying.

 

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