Compliance Officer (Investment Management)

Our client is a well-established and reputable Asset Management Company based in the Southern Suburbs of Cape Town, they are now looking to employ a Compliance Officer who will report into the Head of Legal and Compliance. The role is responsible for the compliance activities across the division and to engage
management to ensure that internal processes are aligned with regulatory requirements, advising on
regulatory changes, and provide reliable, value-added, and independent feedback and advice to management
on regulatory matters. The position also plays a key role to ensure the understanding and adherence to
relevant regulations, laws, and industry guidelines is enhanced.

Responsibilities
The key responsibilities include:
• Compiling of compliance and statistical reports to the business, clients and regulators
• Ensure compliance implementation and maintenance of the compliance risk management and monitoring
plan, including AML compliance monitoring
• Monitoring of the primary legislation impacting the business
• Analyse, interpret and implement new legislation
• Review of all marketing material in accordance with Board Notice 92
• Address compliance queries from the business
• Managing compliance projects from start to finish
• Ensure the application of the TCF outcomes
• Maintain FAIS compliance procedures and manuals
• Maintaining the key individual / representative register
• Monitoring and reporting on all FAIS matters to the business and the regulator

Minimum requirements:
• BCom degree in any of the following: Finance, Business Finance, Investments, Financial planning Law,
Financial Sciences, Investment Management, Law
• LLB degree
• More than 5 years experience working in the financial services industry
• Passed RE1 exam
• Registered as a Compliance Officer with FSCA

Competencies:
• Experience using Microsoft Office (Word, Excel, PowerPoint, Outlook)
• Regulatory policy knowledge in FAIS and CISCA and Asset management
• Experience in AML monitoring (FICA)
• Communication / presentation skills (verbal and written)
• Interpersonal, negotiating and influencing skills
• Solutions / results driven
• Analytical accuracy and attention to detail

To apply for this role please send your CV and supporting documentation to operations@asearch.co.za