R HIGHLY NEGOTIABLE PLUS ANNUAL PERFORMANCE BONUS
Our client is a leading fixed-income asset manager and specialist investment company which manages the full range of interest bearing and developmental investments in an ethical and sustainable way. The company is dedicated to the development and empowerment of South Africa and its people, with many of their investment offerings geared towards a meaningful difference to their world.
They now seek a compliance manager to join their compliance team. Smart team with skilled individuals who need a hands on leader!
JOB DESCRIPTION WILL INCLUDE BUT NOT BE LIMITED TO:
- You will be required to assist in the development, implementation and monitoring of a compliance framework across all facets of the business. This role is key in shaping a culture of compliance, ethical conduct, fiduciary responsibility, and strategic risk awareness – in alignment with local and international best practice;
- You will be responsible for reinforcing and embedding an appropriate compliance culture across the business;
- You will be responsible for managing the development, implementation and maintenance of compliance risk management and monitoring plans;
- You will be responsible for ensuring that staff comply with applicable legislation across the company, including training to be conducted when required;
- You will be responsible for keeping up to date and knowledgeable on legislation affecting institutional asset management, specifically:
- Protection of Personal Information Act (POPIA);
- Financial Advisory and Intermediary Services Act;
- Financial Intelligence Centre Act;
- CISCA;
- Regulation 28;
- Medical Schemes Act;
- You will be responsible for investigating and driving resolution of compliance-related breaches;
- You will be responsible for drafting compliance reports;
- You will be responsible for providing an advisory role within the business;
- You will be responsible for maintaining relevant regulatory registers (e.g., representative register, breach register, etc.);
- You will be responsible for preparing and presenting compliance reports (e.g., board reports, regulatory reports, etc.);
- You will be responsible for drafting and implementing new policies as well as amending existing policies;
- You will be responsible for serving as a knowledge hub to the business;
- You will be responsible for looking for innovative compliance solutions and methodologies to implement within
- the business.
- You will be responsible for acting as the compliance lead on various projects within the business;
- You will be responsible for engaging directly with clients, in terms of presentations and due diligences;
- You will be responsible for collaborating with the group’s compliance area to obtain best solutions and manage alignment.
CORE COMPETENCIES REQUIRED, BUT NOT LIMITED TO:
- You have superior problem solving skills;
- You have an aptitude for building and maintaining relationships;
- You have an aptitude for teamwork and collaboration;
- You have quality orientation (includes having a keen eye for detail);
- You have the ability to be client focused;
- You have stress tolerance;
- You have excellent communication (written and verbal) skills in English;
- You have the capacity for initiating action;
- You have planning and organising skills;
- You have a high work ethic;
- You have confidence and the ability to remain independent at all times;
- You are curious and want to learn;
- You are results orientated;
- You have highly analytical with strong problem-solving and decision-making capabilities;
- You are technically sound in investment products and processes, especially across multi asset portfolios;
- You have the ability to build a high-performing team and foster a culture of continuous learning;
- You have impeccable integrity, independence and judgment.
CORE QUALIFICATIONS AND EXPERIENCE:
- You have a relevant degree: B Com hnrs/B.Bus Sc, LLB, CA(SA),
- You have a postgraduate qualification in compliance, risk, law, or investments – this is preferred;
- You are a CFA Charterholder or candidate – this would be a disinct advantage;
- You are a FSCA-approved Compliance Officer, including for FAIS and relevant exchanges;
- You have a minimum of 8 years’ current, relevant experience in compliance roles within asset management or financial services;
- You have an in-depth knowledge of South African regulatory landscape, with international exposure – this would be a distinct advantage;
- You have experience in engaging with regulators, auditors, and senior internal stakeholders;
- You have a minimum of 8 years’ minimum related experience with most of it preferably in asset management;
- You have knowledge of and experience in the following:
- Protection of Personal Information Act (POPIA);
- Financial Advisory and Intermediary Services Act;
- Financial Intelligence Centre Act;
- Pension Funds Act;
- CISCA;
- Regulation 28;
- Medical Scheme Act;
- You have knowledge of the following would be considered advantageous: financial markets act (specifically around inside trading);
- You have knowledge and practical application of the Charles River system – this would be a distinct advantage.
Make your mark! Your expertise will be recognised and rewarded. Lead a team and do things better, smarter and with expertise.