Junior Compliance Officer

SUMMARY:
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POSITION INFO:

Overview:

Our client, a well-established hedge fund manager, are seeking a Compliance Officer to join their team. They believe that employing exceptional talent is critical to their long-term success. Their teams are composed of highly qualified, passionate, and market-savvy individuals who operate with honesty and integrity. The successful candidate will be assisting, and reporting to, the Head of Compliance. In addition, the successful candidate may report into other department heads.

Requirements:

• Diligent, methodical, and detail-oriented in executing tasks
• Organised and able to follow structured compliance processes
• Willingness to learn and develop knowledge of regulatory frameworks
• Good interpersonal and communication skills to liaise with staff across departments
• Ability to work accurately under pressure and meet deadlines

Key Deliverables:

• Assist with routine compliance monitoring in line with the compliance plan
• Perform sample testing of transactions, client files, and records against regulatory requirements
• Maintain compliance registers (e.g., breaches, complaints, conflicts, training)
• Assist in preparing reports for the Compliance Manager and regulatory authorities
• Support in tracking and recording staff regulatory training and fit & proper requirements
• Help coordinate internal audits, internal reviews, and information requests
• Escalate any non-compliance findings
• Keep updated compliance checklists and assist in monitoring implementation of corrective actions

Qualifications and Competencies:

• A bachelor’s degree in any of the following fields:
  • Law
  • Accounting
  • Economics
  • Business Studies
  • Management
• RE 1 and RE 3 – advantageous
• Knowledge of financial services laws: FAIS, FSRA, FICA, POCA, POCDATARA, CISCA, CoFI, POPIA and EU GDPR
• A keen interest in financial services, with a willingness to grow into a broader compliance role
• Extensive knowledge of industry and its trends with an eye towards the future
• Displays absolute integrity and honesty in all work-related interactions