Compliance Analyst

SUMMARY:
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POSITION INFO:
Great opportunity to join a global Asset Manager as a Compliance Analyst  in Cape Town.  This role is responsible in assisting the Compliance team in the implementation of the compliance framework across the Southern African business. This is an EE designated opportunity.  Some key role functions: Ensure the implementation and maintenance of Compliance processes and procedures:  Regulatory investment limits and Mandate investment reviews and coding. Pre- and Post-Trade Investment Mandate Breach reporting. Conflicts of Interest Management in line with legislative and group governance requirements.  Collaborate within the Compliance team to receive and implement legislative interpretation relating to investment activities.  Monitor and co-ordinate compliance to legislation and company policies relating to investment and sales activities.  Regular reporting to management and regulatory bodies.  Help maintain an effective compliance monitoring and training programme for the organisation.   Key requirements: Bachelors Degree in Commerce or Statistics 3 - 5 years’ experience in Compliance or Audit  Experience working on Charles River and Invest One  Regulation 28 reporting experience necessary Comply with the FAIS Code of Conduct requirements for Compliance staff Excellent communication and numerical skills.  Technical understanding of financial products and instruments Take pride in own integrity and confidentiality.      You understand and accept that, by applying for this role, you authorise Candidate Connect to obtain your personal information and utilise said information for recruitment purposes for this role. Your information will be stored on our database. Should you wish for us to remove any personal information from our database, please contact us at Your data will not be used for any unsolicited marketing purposes, and will not be transferred to any third parties without your direct consent. Please note that if you do not receive a response from us within 1 week of your application, please consider it as unsuccessful for this particular role – thank you.

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