Portfolio Assistant and Compliance
30 April 2019
Web Ref : 488
Purpose of the Role: The successful candidate will support the COO, Operations and Portfolio Managers in various operational, compliance (local & offshore) and investment related functions with respect to the hedge funds and unit trusts that the company manages and advises upon. The candidate will compliment a team of 19 professionals which comprises 4 Portfolio Managers, 7 Analysts, 2 Traders, a COO, 2 Operations Managers and 4 business development personnel. Duties and Responsibilities: • Assisting in the management of relationships with all of the company fund’s service providers including but not limited to administrators, prime brokers and risk monitors • Daily reconciliations of all hedge funds and unit trusts including primary responsibility for the maintenance of middle office systems and the resolution thereof • Review of daily, weekly and monthly administrator and risk monitor reporting • End of day trade allocation and reporting • Assistance with the generation of presentations and factsheets monthly • Compliance function including regulations, KYC reporting, account opening for both the local and offshore funds • Various ad hoc reports including maintenance of trading, brokerage and risks reports Qualifications: The successful candidate must have a BCOM or similar with a minimum of 2 years relevant experience in the field of asset management. Hedge Fund experience would be an advantage. Experience in fund accounting would also prove valuable. Skills/Competencies and experience: Markets • Minimum 2 years’ experience • An understanding of: CFD’s, Futures and Options, Foreign Exchange, Money Markets and Fixed Income • An understanding of trade execution, allocation and reporting, and settlements Accounting • Must be able to read, understand and interpret a set of annual financial statements • Must be able to review and understand administrator reporting Legal and Regulatory An understanding of and be able to complete the following: • FAIS and FICA • CISCA • FSCA Bi-Annual Reporting • FICA individuals, companies, trusts • Keep abreast of all relevant FSCA Regulatory updates and changes and ensure that the company is compliant • Ensure deadlines to submit any required information in respect of regulatory updates and changes are adhered to • Manage CPD hours for the team and ensure all relevant Key Individuals and Representatives have the necessary CPD points (this includes obtaining confirmation of the points whether it be via web-based learning courses or attending conferences or other recognized events. Confirmation usually in the form of a certificate) • Manage and monitor Product Specific Training and Class of Business Training and ensure that those members who require training receive the necessary training • Work closely with the outsourced compliance service provider on monthly audits to ensure the company is compliant • Ensure that bi-annual Fit and Proper declarations (per FSCA) and the company bi-annual Staff declarations and Personal Account Trading declarations are completed by all individuals and ensure that individuals are adhering to respective FSCA Laws and Regulation as well as company policies and Code and Standards • Monitor personal share trading and ensure compliance with company policies Interpersonal Skills: • Must be presentable and articulate in a professional context • Must have excellent written skills and possess ability to communicate ideas • Must be very detail oriented • High level of social and inter-personal skills • Ability to think laterally, innovate and add value for the company and client • A working knowledge of the industry in which the company operates to maximize business opportunities • The candidate should be a team player with the ability to work independently Computer Literacy: • Fully conversant with and able to operate all available software, such as: Word, Excel, Internet, PowerPoint
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