Our client is a dynamic growing Asset Management company which has an excellent reputation for offering a diverse range of investment products coupled with good performance. Due to this growth to become a large Asset Manager they now have a new opportunity for a compliance expert to join their team.
Duties and responsibilities:
- Draft new policies required under new/amended regulations.
- Responsible for the implementation and ongoing monitoring of adherence to company policies.
- Annual review and update of company policies.
- Review all new regulatory developments, summarizing and presenting the 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 requirement for marketing different products in different jurisdictions.
- Responsible for 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 preparation of process document.
- SA compliance includes compliance with: FAIS, POPIA, FICA.
- Assist with ad hoc queries on CISCA permissible instruments (or other regulatory limits, i.e. Pension Funds Act, Medical Schemes Act, etc.).
- Compliance record-keeping, registers, filing system.
- Oversight of functions performed by junior compliance analyst.
- All other compliance matters.
- Share and transfer product, process and systems knowledge to colleagues.
- Collaborate and work with internal teams to deliver required service levels.
- Ensure achievement of own performance objectives.
- Share information with other team members regarding successes, issues, trends and ideas.
- Participate in own professional development and career path.
Qualifications:
Legal degree is imperative.
Experience:
5-10 years of experience in related role within the Asset Management. Must be able to draft company policies and interpret local and international laws.
Competencies:
- Strong organisational skills and attention to detail.
- Ability to problem solve.
- Ability to work independently (self-starter) and collaboratively in the team in a fast-paced environment.
- Proactive: Takes initiative to anticipate and address issues before they arise.
- Detail-Oriented: Ensures accuracy and thoroughness in all tasks.
- Output-Focused: Demonstrates a strong commitment to understanding and meeting the needs of stakeholders (internal or external).
- Collaborative: Works effectively and managing the relationship with both internal teams and external stakeholders and service providers, fostering strong relationships.
- Exceptional verbal and written communication skills, with the ability to engage confidently with teams and stakeholders.
- Proficiency in Microsoft Office Suite (PowerPoint, Excel, Word).
To apply for this role please send your CV and supporting documentation to
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