SUMMARY:
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POSITION INFO:
Compliance Officer CAT2 Cape Town
Our client is looking for a Compliance Officer with CAT2 who is able to provide legal and compliance support on systems, processes and knowledge of financial services regulatory environment.
Salary: Market Related
Minimum Requirements:
- Matric
- 3 – 5 years in legal/compliance role in financial environment
- BComm Honours / law degree / compliance related qualification.
- BusSci degree in Portfolio Management would be an advantage.
- Cat II FAIS registered CO / CO for ManCo.
- Member of CISA – C (Prac) advantageous.
- Exposure to asset management and/or ManCo.
- Knowledge of FAIS/CISCA.
- Statpro monitoring system or similar post trade portfolio software
Key Responsibilities:
- Advise management in respect of implication and consequences of business decisions in the Collective Investment Scheme/Asset Management area.
- Liaise with management regularly on compliance issues.
- Liaise with Trustees
- Assist with due diligence in relation to offshore funds.
- Provide reporting to various company boards, risk and audit committees, and regulatory bodies where applicable.
- Investigate and oversee asset management breaches (post trade compliance).
- Liaise with Regulator in assisting with FSCA applications and any correspondence with regards to agreements, addendums, and supplemental deeds.
- Fulfill an advisory role for new business initiatives and projects.
- Maintain knowledge staying abreast of industry and regulatory changes.
Please Apply Online at FROGG Recruitment
NB! This job is now closed. You can apply for other jobs by uploading your CV.
