Overview
Investment Compliance Officer Jobs in Cape Town, South Africa at Status Staffing
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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)
46 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)
DUTIES :
Ensure the asset managers and CIS Managers 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
HOURS :
Monday to Friday : 08 : 00
17 : 00
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Compliance Officer
• Cape Town, Western Cape, South Africa
#J-18808-Ljbffr
Title: Investment Compliance Officer
Company: Status Staffing
Location: Cape Town, South Africa
Category: Finance & Banking (Financial Compliance, Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Services)
