Snr Investment Compliance Analyst

Top Asset Mgt firm seeks astute indiv. Be instrumental in monitoring Investment Compliance on pre & post trade basis on Investment instruments. Provide sound advice to the business on Investment compliance. Ensure relevant regulatory reporting is adhered to. Exciting new career opportunity with market leader.

Main Responsibilities

• Pivotal role to ensure relevant regulatory and compliance rules are coded onto the Investment system.
• Conduct due diligence on investment instruments and funds within Investments and Asset Mgt businesses.
• Prepare and submit relevant client and regulatory reporting.
• Ensure reporting in line with guidelines (Reg 28, Reg 30, SIH reporting, quarterly FSCA, SARB, hedge funds, and JSE).
• Maintain compliance risk register.
• Engage with key stakeholders such as Trustees, Portfolio Managers, Regulators.
• Contribute to key compliance projects and implement regulatory changes.
• Other key duties to be discussed at interview stage.

Qualification and Experience

• BCom in Investment Mgt or Law or relevant. Hons an advantage.
• Member of Compliance Institute of SA.
• 6 to 10 years exp in Investment/Asset Mgt.
• Strong Compliance / Regulatory exp in Investments.

Should you be interested in the opportunity:

• Please submit your CV online. You will be directed to our database, Ditto.
• For queries, please contact Bev at SET on 082 495 8595.
• No WhatsApp CVs can be accepted.