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Head of Compliance - Cape Town - Aquarius Specialist Recruitment

Aquarius Specialist Recruitment • Other • Cape Town, Western Cape, South Africa • $200 - $300 / year • 1w ago

Head of Compliance - Cape Town - Aquarius Specialist Recruitment

Aquarius Specialist Recruitment Cape Town

3 hours ago

Description

Compliance Expert Opportunity at a Dynamic Asset Management Company

We are seeking a highly skilled Compliance Expert to join our team at a dynamic growing Asset Management company. Our client has an excellent reputation for offering a diverse range of investment products coupled with good performance.

As a result of this growth, the company is expanding and now has a new opportunity for a Compliance Expert to join their team.

Duties and Responsibilities:

Develop and implement new policies required under new or amended regulations.
Implement and monitor adherence to company policies on an ongoing basis.
Conduct annual reviews and updates of company policies.
Review all new regulatory developments, summarize, and present them to the legal team and/or board of directors.
Design processes and systems to monitor adherence to company policies.
Develop and implement a marketing policy addressing requirements for marketing different products in various jurisdictions.
Prepare and submit all regulatory reports.
Serve as the primary point of contact for outsourced compliance officers.
Research marketing restrictions of funds and/or individuals in various jurisdictions and prepare process documents.
Ensure compliance with relevant laws, including SA FAIS, POPIA, FICA.
Provide assistance with ad-hoc queries on CISCA permissible instruments and other regulatory limits.
Maintain compliance record-keeping, registers, filing systems.
Oversight of functions performed by junior compliance analysts.
Handle 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.
Achieve own performance objectives.
Share information with team members regarding successes, issues, trends, and ideas.
Participate in own professional development and career path.

Requirements:

Legal degree is mandatory.
5-10 years of experience in a related role within the Asset Management industry.
Able to draft company policies and interpret local and international laws.
Strong organizational skills and attention to detail.
Ability to problem-solve.
Ability to work independently and collaboratively in a fast-paced environment.
Proactive: Anticipates and addresses issues before they arise.
Detail-Oriented: Ensures accuracy and thoroughness in all tasks.
Output-Focused: Demonstrates a strong commitment to understanding and meeting stakeholder needs.
Collaborative: Works effectively with internal teams and external stakeholders and service providers.
Exceptional verbal and written communication skills.
Proficiency in Microsoft Office Suite (PowerPoint, Excel, Word).

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