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An established, and well rated investment manager is looking to fill a key role in their Corporate Governance team, this being a Compliance Officer.

This is a Cape Town based opportunity.

This is a key role supporting the Regulatory Compliance Manager through implementation and maintenance of the compliance strategy, and ensuring an appropriate culture of compliance is prevalent across the business.

Some key responsibilities include

• Development, implementation and maintenance of compliance risk management and monitoring plans.
  Ensure that staff are complying with applicable legislation across the business unit, and include training when required.
• Facilitate investigation into, and resolution of, compliance related breaches.
• Maintenance of regulatory registers and preparation of compliance and regulatory reports

Key requirements

• Legal qualification e.g. LLB
• Professional Compliance designation advantageous e.g. CPrac / CProf
• 1-2 years experience within asset management
• Registered with FSCA / under supervision a FAIS Cat 2 /Cat2A compliance officer
• Regulatory knowledge as below

Key regulatory knowledge

Knowledgeable on legislation affecting institutional asset management with specific experience in the following:

• Financial Advisory and Intermediary Services Act, including Codes of Conduct as applicable to a Cat 2 and Cat 2A FSP
• Financial Intelligence Centre Act
• Protection of Personal Information Act
• Financial Markets Act
• JSE Membership Rules and Regulations.
  
  

This is an Employment Equity opportunity.

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