BA Personal as a specialist in our field of expertise with extensive experience in placing niche and specialized roles both Nationally and Globally, is known for attracting and representing high caliber candidates. Our clients are diverse Leaders in their respective Industries and Representatives across all business sectors. Excellent opportunity for a highly experienced COMPLIANCE OFFICER with Umbrella funds experience. Knowledgeable of legislation affecting institutional asset management (buy side), with specific experience in the following: Financial Advisory and Intermediary Services Act, including applicable Codes of Conduct as applicable to a Cat 2 and Cat 2A FSP, Financial Intelligence Centre Act, and Protection of Personal Information Act (POPIA). JSE Membership Rules and Regulations. Financial Markets Act, and Knowledge of the following would be considered advantageous: Financial Markets Act, and JSE Membership Rules and Regulations. In this role, the incumbent will play a key role in supporting the company Investments Regulatory Compliance Manager by, implementation and maintenance of the compliance strategy and programme, and ensuring an appropriate culture of compliance across is prevalent across the business unit. Establishes and embeds an appropriate compliance culture. Development, implementation and maintenance of compliance risk management and monitoring plans. Ensures that staff are complying with applicable legislation across the business unit, to include training to be conducted when required. Knowledgeable of legislation affecting institutional asset management (buy side), with specific experience in the following: Financial Advisory and Intermediary Services Act, including applicable Codes of Conduct as applicable to a Cat 2 and Cat 2A FSP, Financial Intelligence Centre Act, and Protection of Personal Information Act (POPIA). JSE Membership Rules and Regulations. Financial Markets Act, and Knowledge of the following would be considered advantageous: Financial Markets Act, and JSE Membership Rules and Regulations. Perform compliance monitoring to fulfil the requirements of the Compliance Monitoring Plan, using appropriate sampling methodologies. Facilitate investigation into, and resolution of, compliance related breaches. Draft relevant breach reports. Address ad hoc compliance queries. Maintenance of relevant regulatory registers (e.g., representative register, breach register, etc.). Preparation of compliance reports (e.g., Board reports, regulatory reports, etc.). Meet with managers to discuss the non-compliances Compile regulatory reports (FAIS, FICA, etc.) Co-ordinate and facilitate AML requests from internal stakeholders, counterparties and regulators. Facilitating the implementation of CURA (OM Compliance system) within the Compliance Team Assist with training to the business. Recognized legal qualifications (e.g. LLB) and/or a professional designation (for example in the compliance field; CPrac or CProf). 2 – 3 years relevant experience, with most of it preferably in asset management. Advantageous if registered with the FSCA, or under supervision, as a FAIS Cat 2 and/or Cat 2A Compliance Officer. Software applications: Basic ability to utilise software applications such as MS Outlook, PowerPoint, etc. Competent in Microsoft Excel and Microsoft Word. Experience with CURA, SharePoint and CRM would be advantageous. Regulatory Advisory: Research, gather data, complete an analysis and integrate into business requirements under supervision of senior compliance officers. Compliance Monitoring: Execute the annual compliance plan and compliance monitoring plan under the supervision of senior compliance officer: Regulatory Knowledge and Awareness, as applicable to the business Competencies Communication skills: The ability to investigate, conclude and communicate findings to relevant stakeholders. Ability to work well under pressure and able to manage their time effectively. Able to prioritise appropriately and meet deadlines. Deal effectively with conflict. Ability to innovate and improve efficiencies. Team player and strong partnership building skills. Apply Now

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Compliance Officer Western Cape (Cape Town) - Cape Town Region

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