Senior Compliance Administrator at SANNE

Job Description
We are seeking a Senior Compliance Administrator, to provide compliance support in the discharge of the responsibility to comply with applicable statutory, regulatory and supervisory requirements. It is the role of the Compliance Department to assist management and employees to conduct business in compliance with the applicable regulatory requirements and ethical standard pertaining to its business. The candidate will report directly to the South African Head of Compliance.

Requirements

• Liaise with the Investment Managers and the administrators to request all the marketing materials for review before lodging to the FSCA and publishing on the Sanne website.
• Provide assistance with developing, implementing and maintaining compliance documents, policies and procedures;
• Assist with the establishment and maintenance of procedures on the identification, reporting and resolution of compliance and regulatory issues;
• Staying informed of applicable legislation, industry developments and internal procedures;
• Analysing proposed new legislation, where applicable;
• Perform required monitoring reviews by assessing documentation and procedures for accuracy and completeness;
• Update and produce status reports as is required;
• General administrative duties;
• Reviewing the marketing materials, Minimum Disclosure Documents (MDDs), application forms and any other documentation to ensure that they meet the disclosure requirements of CISCA, Board Notice BN 92 and BN52.
• Assist, where applicable, with the submission and filing of the monthly and quarterly regulatory reports including the CIS Mark-to-Market reporting, filing MDDs with the FSCA, filing quarterly FSCA reports and filing quarterly ASISA stats reports.
• Assist in Preparing the Key Investor Information Documents (KIIDs) when a new portfolio launches and ensure that the KIIDs are published on the Sanne website and submitted to the FSCA.
• Updating the control sheets to ensure that all the marketing materials, monthly and quarterly reports have been reviewed, lodged, filed and published.

Skills / Experience:

• Relevant tertiary degree,
• Computer literacy: proficient in Microsoft Office (Word, Excel, PowerPoint and Outlook),
• Basic working knowledge of Anti-Money Laundering Legislation, Financial Advisory and Intermediary Services and the Collective Investment Schemes regulations,
• 2-3 years’ experience within the financial services industry (preferable),
• Good communication skills (Verbal and written),
• Must have a strong work ethic,
• Reliable and Adaptable,
• Analytical and problem-solving skills with strong attention to detail,
• Deadline driven,
• Work independently as well as in a team,
• The ability to work under pressure