Job title: Senior Compliance Officer
Employment type: Full Time
Experience: 5 to 8 years
Salary: Negotiable
Salary Type: Cost to Company
Job published: 24 September 2020
Job reference no: 3315550253

Job Description

Great opportunity to join an asset management team who seeks an experienced Investment Regulatory Compliance professional to join them and manage the regulatory compliance team. Role reports to the Head of Compliance.

You’ll be the regulatory compliance subject matter expert in the team. A great business, with vision, client focus and high ethics. As this business offering is diverse in covering many asset classes, it will offer a super career challenge and growth.

Cape Town based.

EE role. This role is open to suitably qualified Employment Equity candidates aligned with our client’s employment equity requirements for this role.

The role in a nutshell: responsible for managing the team who manage regulatory risk, ensure sound regulatory compliance framework and environment is maintained, keep abreast of changes to legislation, provide commentary on impending legislation, and understand how it pertains to the business, maintain and ensure any regulatory training and communications are up to date and be the subject matter expert and willing to train as required, prepare annual compliance plan, an the monitoring plan for this area of compliance, provide regular guidance to business on regulatory compliance as required, coordinate regulatory engagements as required, ensure all compliance reporting obligations are met by the team etc. Additional info will be share with successful applications.

Qualifications & experience required

  • Minimum of a relevant legal degree
  • Minimum of 5+ years’ experience in a compliance / legal role within another asset manager
  • FSCA Compliance Officer or be able to be approved as a FSCA Compliance Officer, and eligible for approval as a JSE Compliance Officers (Bonds and Derivatives) would be a distinct advantage
  • Must have FICA, FAIS and other key legislation impacting asset management
  • Must have had filled a compliance officer role within an asset manager, and experience with JSE member compliance within a bond/derivatives broker would be considered advantageous.
  • Must be solutions focussed, innovative and have strong planning skills
  • Must have the ability to influence and build excellent stakeholder relationships
  • Must be comfortable and able to influence at all levels in the business, as well as exco level

To find out more or apply either apply here or please forward your CV to adrienne@candidateconnect.co.za or drop me a line for a confidential chat.

Please note that if you have not received a response within 2 weeks of your application, please consider it as unsuccessful for this particular role - thank you.