Compliance Office (Investments) - Newlands Cape Town at PPS

Job Advert Summary    

• Provide legal and compliance support as a senior resource within the governance team on CIS and investment management matters. We are looking for an individual who is able to take the lead compliance related matters with a pragmatic approach to systems and processes and knowledge of the South African financial services regulatory environment.

Minimum Requirements    
Ideal experience:

• 3-5 years in legal/compliance role in a financial services environment.
• Exposure to asset management and/ or ManCo.
• Knowledge of key Acts: FAIS/CISCA.

Ideal qualification:

• BComm Honours / law degree/ compliance related qualification.
• BusSci degree in Portfolio Management would be an advantage.
• Cat II FAIS registered CO/ CO for ManCo.
• Member of CISA- C (Prac) advantageous 

Competencies & ideal personality attributes:

• Ability to exercise independent judgement and reasoning
• Analytical thinking
• Logical thinking
• Confident
• Excellent communication skills
• Friendly and professional
• Knowledge of investment instruments and CIS

Systems knowledge:

• Proficient in MS Office
• Exposure to a portfolio control post-trade compliance system an advantage

Duties and Responsibilities    

• Advise management in respect of implication and consequences of business decisions in the Collective Investment Scheme/Asset management area.
• Liaise with management regularly on compliance issues.
• Liaise with Trustees of the PPS Manco Scheme.
• Monitor PPS Portfolio’s; Wrap Funds; Discretionary Fund Models (DFM’s), CIS and Regulation 28 analysis and reporting. Knowledge of Statpro monitoring system or similar post trade portfolio software.
• Assist with due diligence in relation to off-shore funds.
• Provide reporting to various company boards, risk and audit committees, PPS Group and regulatory bodies where applicable.
• Investigate and oversee asset management breaches (post trade compliance).
• Liaise with Regulator in assisting with FSCA applications and any correspondence with regards to agreements, addendum's and supplemental deeds.
• Fulfill an advisory role for new business initiatives and projects.
• Review Minimum Disclosure Documents (MDD’s) and other marketing material and submit to the FSCA.
• Manage Assistant Compliance Officer (CO) and provide supervision where applicable to trainee compliance officer’s.
• Maintain knowledge staying abreast of industry and regulatory changes.