Compliance Data Analyst at Prescient

Purpose of role:

• To provide compliance data collation and analysis expertise to a niche investment compliance team supporting a diversified financial service offering, which includes Investment Management, Fund Services, Wealth Management and Retirement Fund solutions. 

Duties and responsibilities:

• Collation and analysis of data required for portfolios that are compliant with REG28, CISCA, SARB and ASISA.
• Classification of instruments in terms of Regulation 28, ASISA, SARB (Asset Allocation, C23, C48, B16).
• Liaising with asset managers to collate all portfolio holdings and look-through data in various reporting systems.
• Compiling ASISA, FSCA and SARB quarterly reporting.
• Assist with ensuring correct rule set-up on various compliance and reporting systems.
• Assist with enhancement to reports as required from time to time by the Regulator.
• Compliance Static Data Management.
• Working with the data management team in order carry out instrument data reviews, “clean-ups” and pass on knowledge around compliance aspects of static instrument data and data management.
• Ad-hoc investment and regulatory compliance tasks, as required.

Required experience:

• Approximately 1-2 years’ experience in a Compliance Data related role gained from an Asset Management/related environment. We will also consider a finance / investment graduate with an interest in building their career in risk and compliance.
• Sound foundational understanding and exposure to the various applicable legislations including CISCA, SARB Classifications, Reg 28, Board Notice 90 and Board Notice 52 is preferred.
• Sound foundation understanding and exposure to financial markets.
• Preferably exposure to relevant investment systems as well as Compliance software i.e. Fundamental, Moonfire.
• Strong Excel skills.  

Key competencies:

• Ability to work with large volumes of data from different systems and distill data for regulatory reporting purposes (SARB, Reg 28 submissions).
• Ability to work under time pressure around submission deadline times.
• Highly organized and good time management skills. 
• Strong problem-solving ability. 
• Able to work well on one’s own as well as in a team environment.
• Accuracy and attention to detail are of the utmost importance.
• Self-starter who is self-driven and self-directed. 
• Strong work ethic. 
• Honesty and integrity.
• Strong communication skills, both verbal and written communication.