Compliance Officer (Personal Accounts Dealing) – Investment Management

About the position:

The role is for a Compliance Officer focusing on the areas covered by the Code of Ethics, Training and the Monitoring programme for Southern Africa. It is a very interactive role and requires a candidate with strong interpersonal, administrative and organisational skills. The role also has exposure to and involves compliance functions, which are performed globally.

Responsibilities:

Monitoring:

• Manage and maintain the Southern Africa Compliance monitoring program
• Keep abreast of new and current legislation that could impact the business for the purposes of updating the monitoring program
• Maintain and update compliance rules, risks, and controls on the compliance monitoring database
• Perform all compliance monitoring required by the monitoring program
• Maintain and collate information on monitoring for compliance reporting purposes

Third Party Benefits:

• Manage and maintain the process to approve and administer third party benefits (gifts and entertainment)
• Assist with and respond to queries from staff regarding third party benefits
• Maintain and collate information on third party benefits for compliance reporting purposes

Personal Account Dealing (PAD):

• Manage and maintain the process to approve personal account deals
• Assist with and respond to queries from staff regarding personal account deals
• Maintain and collate information on PAD for compliance reporting purposes

Annual Declarations:

• Manage and maintain the Annual Declaration process for Southern Africa
• Assist with and respond to queries from staff regarding their annual declarations
• Maintain and collate information on the annual declarations for compliance reporting purposes

Training:

• Providing compliance training to staff when required
• Coordinating the Southern African annual training schedule including but not limited to, setting up training sessions for staff, maintain training registers and collating information on training for Compliance reporting purposes

Global Anti Money Laundering AML:

• Assisting the Money Laundering Reporting Officer (MLRO) with Global AML related tasks where necessary

Market Abuse/Insider Trading:

• Managing the compliance process around insider trading and market abuse
• Maintaining and updating the insider register and collating information for compliance reporting purpose

Qualifications and Experience required:

• LLB/B. Com or other similar degree
• 5 years related experience in Compliance in an investment administration or financial services environment
• Other relevant exposure to the financial services industry in legal, compliance or audit would be beneficial

System Skills:

• Microsoft Excel, Word, PowerPoint Outlook
• Other systems experience, specifically monitoring systems, would be beneficial

Personal Attributes:

• Ability to use initiative and think ‘out-of-the-box’
• Meticulous
• Diligent and thorough
• Accurate and organised with an eye for detail
• Self-motivated and proactive
• Firm with a measure of flexibility
• Ability to follow through
• Self-starter with the ability to work independently
• Reliable at all times
• Confident with the ability to push back when not in agreement