Investment Compliance Officer

SUMMARY:
Our client in Claremont, Cape Town is seeking an experienced Investment Compliance Officer to join their team. The ideal candidate will hold a relevant degree in financial services, have successfully completed the regulatory exams for Category I and II Financial Services Providers (FSP), and bring 4–6 years of compliance experience within the financial services industry—ideally in asset management. Proficiency in Microsoft Office is essential, along with a solid understanding of CISCA and other related financial markets legislation. Being a FAIS-approved Compliance Officer for CAT I and II will be advantageous.

POSITION INFO:
A recent professional profile photo is to accompany your application
EMPLOYMENT TYPE : Permanent
SECTOR : Operations
BASIC SALARY : Market related
START DATE : A.S.A.P / Immediate

REQUIREMENTS:

• Relevant degree in relation to financial services
• Regulatory exams for Category I and II Financial Services Providers (FSP)
• 4–6 years’ experience in financial services as a Compliance Officer, ideally within asset management
• Proficient in Microsoft Office suite
• Good working knowledge of CISCA and other related financial markets legislation (preferred)
• FAIS-approved Compliance Officer for CAT I and II (advantageous)

• Ensure the asset managers and CIS Manager’s investment activities comply with client mandates, regulatory requirements (including CISCA), and internal policies through proactive monitoring, reporting, and advisory, supporting the organization's commitment to regulatory excellence and risk management
• Take full ownership of post-trade compliance monitoring and conduct ongoing reviews of processes for the asset manager and CIS Manager
• Review and sign off investment mandates during onboarding and ensure ongoing compliance with client mandates
• Monitor compliance with CISCA in accordance with the annual plan and submit required reports to the FSCA
• Manage regulatory engagements, including submission of mandate applications, ASISA standards, deeds, supplemental deeds, and new CIS fund applications as required
• Support pre-trade compliance monitoring by liaising with developers and traders, and advising on high-risk rules
• Oversee all investment-related compliance reporting, including Regulation 28 reports and breach notifications
• Maintain detailed records and documentation related to compliance activities
• Attend relevant industry forums and workshops to stay informed of regulatory developments
• Coordinate insider notification and personal account trading processes in line with internal policies
• Liaise with trustees, responding to breach reports, overdraft notifications, and other requests
• Escalate unresolved or material compliance issues to the Head of Compliance and Risk
• Provide general assistance to the Head of Compliance and Risk on an ad hoc basis as business needs arise

• Monday to Friday: 08:00 – 17:00