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A recent professional profile photo is to accompany your applicationEMPLOYMENT TYPE : PermanentSECTOR : Operations BASIC SALARY : Market relatedSTART DATE : A.S.A.P / ImmediateREQUIREMENTS:Relevant degree in relation to financial servicesRegulatory exams for Category I and II Financial Services Providers (FSP)46 years experience in financial services as a Compliance Officer, ideally within asset managementProficient in Microsoft Office suiteGood 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 organizations commitment to regulatory excellence and risk managementTake full ownership of post-trade compliance monitoring and conduct ongoing reviews of processes for the asset manager and CIS ManagerReview and sign off investment mandates during onboarding and ensure ongoing compliance with client mandatesMonitor compliance with CISCA in accordance with the annual plan and submit required reports to the FSCAManage regulatory engagements, including submission of mandate applications, ASISA standards, deeds, supplemental deeds, and new CIS fund applications as requiredSupport pre-trade compliance monitoring by liaising with developers and traders, and advising on high-risk rulesOversee all investment-related compliance reporting, including Regulation 28 reports and breach notificationsMaintain detailed records and documentation related to compliance activitiesAttend relevant industry forums and workshops to stay informed of regulatory developmentsCoordinate insider notification and personal account trading processes in line with internal policiesLiaise with trustees, responding to breach reports, overdraft notifications, and other requestsEscalate unresolved or material compliance issues to the Head of Compliance and RiskProvide general assistance to the Head of Compliance and Risk on an ad hoc basis as business needs ariseHOURS:Monday to Friday: 08:00 17:00 https://www.executiveplacements.com/Jobs/I/Investment-Compliance-Officer-1183569-Job-Search-06-06-2025-00-00-00-AM.asp?sid=gumtree

Executive Placements

Claremont & Newlands

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The purpose of this role is to ensure that the company complies with the provisions of the Financial Markets Act, the Rules and Directives of the JSE as well as to identify and report any contraventions of the Act, the Rules and Directives of the JSE or Board decision to the JSE Director: Market Surveillance. Requirements MINIMUM REQUIREMENTS Grade 12 coupled with at least 2 - 3 years compliance management experience in the commodities environment or Bachelor’s degree (Legal or Accounting) or equivalent qualification coupled with 2 years compliance management experience in the commodities environment will be an advantageThe candidate must have passed the Derivatives Compliance Officer Examination as prescribed by the JSERisk and Compliance short courses at NQF Level 6 will be an advantageRegistration at the FIC to handle all potential reporting issues is essentialWorking knowledge of the Nutron trading platform will be an advantage KEY PERFORMANCE AREAS Distribute and implement JSE noticesCompile and distribute the daily debit balance emails for Commodity & Currency ClientsCompile and distribute the current risk exposure reportCommunicate with Moonstone compliance and notify them of profile changes and updates for the division as the licence holderOpen new client accounts on NutronAmend fee structures with Clearing BankInvestigate and resolve client queries and complaints, update and maintain the complaints registerUpdate and maintain client and trader data in counterparty reportEnsure that the company complies with the provisions of the Financial Markets Act and the Rules and Directives of the JSE.Report any contraventions of the Act, the Rules and Directives of the JSE or Board decision to the JSE Director: Market Surveillance.Ensure that all clients are FICA compliant.Ensure that all potential reporting issues for Cash-threshold transactions and/or suspicious transactions are reported to the FIC.Compile and distribute reports to management as requestedCompile and submit the quarterly The division Compliance report and highlight any identified irregularities TECHNICAL KNOWLEDGE/COMPETENCIES Knowledge of agricultural and currency derivativesSolid experience and understanding of anti-money laundering is essentialKnowledge of best practices/trends within the regulatory and compliance frameworkKnowledge of relevant legislationDrafting skillsExcellent Computer skillsTime management skillsAccuracy/attention to detail BEHAVIOURAL COMPETENCIES Dynamic, enthusiastic and Self-motivatedDetail Oriented and Pro-Active inclinationTeam ...Additional Info:2 to 3 yearsSalary: RNegotiableJob Reference #: 4270358844

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Umjikelo Recruitment Services

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