Compliance Officer - Investments at Efficient Frontier

Job Description

Note: Employment Equity candidates only | Only SA citizens would be considered A top SA Investment Management firm has a vacancy for an experienced Compliance Officer to implement and maintain the compliance strategy and promote a culture of compliance across the firm.

Key Functions

• Establishes and embeds compliance throughout the firm.- Implementation and fulfilment of compliance risk management and monitoring plan.- Regular monitoring of the legislation and industry standards impacting the business.- Able to provide interpretive guidance on existing and forthcoming legislation.- Reports on compliance breaches to management.- Facilitates resolution of compliance breaches.- Assists in mitigation of compliance risk.- Address ad hoc compliance queries from the business.- Preparation of various compliance reports, which reports are to either business or the regulator.Key Requirements:
• Relevant legal qualifications and/or a professional designation (CPrac / CProf).- 3 to 5 years relevant experience, ideally within asset management.- Familiar with the following legislation: Financial Advisory and Intermediary Services Act, Financial Intelligence Centre Act.- Some knowledge of the following would be considered advantageous: Financial Markets Act, JSE Membership Rules and Regulations.- Ability to work well under pressure, and is able to manage their time effectively.- Able to prioritise appropriately, and meet deadlines.- Deal effectively with conflict.- Team player and strong partnership building skills.

Note: Employment Equity candidates only | Only SA citizens would be considered A top SA Investment Management firm has a vacancy for an experienced Compliance Officer to implement and maintain the compliance strategy and promote a culture of compliance across the firm.