Compliance Manager | Investment Industry

COMPLIANCE MANAGER | INVESTMENT INDUSTRY
- Cape Town, South Africa |
Permanent

R670K – R690K per annum Negotiable for 5.5-hour day OR 27.5 hours per week

Our Client, an established investment manager with a specialist focus on infrastructure investments is looking to appoint an experienced and highly motivated Compliance Manager to join its Operations team.

This is an exciting opportunity for an experienced compliance professional to play a key role in embedding a strong compliance culture, managing regulatory risk and supporting the business across its investment activities.

Main Purpose of the Role:

Reporting to the Head of Fund Accounting & Operations
, the Compliance Manager will be responsible for ensuring that the business operates within applicable regulatory and compliance requirements, while providing practical guidance to management and staff.

One would describe you as a mature and confident compliance professional who can operate independently while partnering effectively with the wider business.

If you are an experienced compliance professional with strong South African investment-industry regulatory expertise and seeking an opportunity to shape and strengthen the compliance environment of a specialist investment business, work closely with senior stakeholders and contribute to projects across the organisation.

KEY RESPONSIBILITIES INCLUDE:

• Developing and embedding appropriate compliance systems and frameworks across the business
• Managing the development and implementation of compliance, risk management and monitoring plans
• Monitoring adherence to applicable legislation and regulatory requirements
• Providing compliance training and awareness to employees where required
• Keeping abreast of regulatory developments affecting private equity and asset management
• Maintaining relevant regulatory registers, records and reports
• Preparing compliance reports and investigating potential breaches
• Acting as the compliance lead on key projects and business initiatives
• Providing practical advice and guidance on regulatory and compliance matters

QUALIFICATIONS, EXPERIENCE, KNOWLEDGE &

SKILLS REQUIRED:

• A relevant degree such as BCom, LLB or equivalent
• A postgraduate qualification in Compliance, Risk or Regulatory studies would be advantageous
• 8+ years' relevant compliance experience
• In-depth knowledge of the South African regulatory landscape
• Proven experience within asset management, private equity, investment management or a related financial services environment
• An FSCA-approved Compliance Officer designation would be advantageous
• Strong knowledge and practical experience in the South African regulatory environment is essential, particularly across:
  • Financial Advisory and Intermediary Services Act (FAIS)
  • Financial Intelligence Centre Act (FICA)
  • Collective Investment Schemes Control Act (CISCA)
  • Pension Funds Act
  • Regulation 28
  • Protection of Personal Information Act (POPIA)

Competencies:

• Strong leadership skills and professional maturity
• Excellent analytical, problem-solving and decision-making abilities
• A proactive, solutions-focused approach
• Strong attention to detail and a commitment to excellence
• The ability to work effectively under pressure and meet demanding deadlines
• Excellent written and verbal communication skills
• Strong interpersonal and stakeholder-management capabilities
• A high degree of integrity, initiative and accountability