Head of Compliance (Asset Management)

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:

o Draft new policies required under new/amended regulations.
o Responsible for the implementation and ongoing monitoring of adherence to company
policies.
o Annual review and update of company policies.
o Review all new regulatory developments, summarizing and presenting the regulations
to the legal team and/or board of directors.
o Develop processes and systems to monitor adherence to company policies.
o Draft and implement a marketing policy, addressing requirement for marketing
different products in different jurisdictions.
o Responsible for submission of all regulatory reports.
o Serve as the main contact point for outsourced compliance officers.
o Research marketing restrictions of funds and/or individuals in various jurisdictions
and preparation of process document.
o SA compliance includes compliance with: FAIS, POPIA, FICA.
o Assist with ad hoc queries on CISCA permissible instruments (or other regulatory
limits, i.e. Pension Funds Act, Medical Schemes Act, etc.).
o Compliance record-keeping, registers, filing system.
o Oversight of functions performed by junior compliance analyst.
o All other compliance matters.
o Share and transfer product, process and systems knowledge to colleagues.
o Collaborate and work with internal teams to deliver required service levels.
o Ensure achievement of own performance objectives.
o Share information with other team members regarding successes, issues, trends and
ideas.
o Participate in own professional development and career path.

Qualifications:
 Legal degree is imperative.

Experience:
 5-10 years of experience in related role within the 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 operations@asearch.co.za