Overview
We are seeking a diligent and detail-oriented individual to join our Cape Town based Compliance team as a Senior Compliance Analyst.
This is an exciting opportunity to be part of a growing organisation and a dynamic compliance team within the Southern African operations of a leading Global Asset Manager. Compliance is responsible for implementing the local Compliance Framework, in alignment with Group principles. The position reports to the Southern African Group Compliance Officer.
This position suits someone who is passionate about asset management, with an understanding of asset management compliance, an admirable academic record, who is able to work independently, is adaptable and works to high standards. The successful candidate is one who will thrive in a challenging environment, with exposure to all levels of the organisation, including Global counterparts.
Key Responsibilities
The successful candidate will be required to:
Ensure the implementation and maintenance of processes and procedures to implement the Compliance Framework across M&G Southern Africa. These activities will include inter alia:
- Review of Regulatory investment limits and Mandates.
- Coding and testing applicable rules within the order management system (CRIMS).
- Pre- and Post-Trade Investment Mandate monitoring and related breach investigation and reporting.
- Perform monitoring related to legislative and policy requirements, including inter alia
- Personal Account Trading.
- Conflicts of Interest, including Gifts & Entertainment.
- Trading activities (e.g. Best Execution, Segregation of duties, etc.).
Distribution and marketing activities.
- Investigate breaches, and provide remedial actions, including enhancements to processes and controls.
- Support business by collaborating with Compliance, Legal and other areas of the business, on new and/or amended Primary legislation, and subsequent implementation thereof.
- Facilitate training and awareness relating to compliance policies.
- Assist in providing responses to queries received from various stakeholders, including clients, regulators, auditors.
- Compile and provide input into reports for submission to the Regulators, Compliance Officer, Exco and/or Boards.
- Assist the Compliance Officer in achieving the activities as contained in the Annual Compliance Plan.
- Assist with projects and thematic reviews as required.
- Ensure appropriate record-keeping.
Attributes Qualifications, Skills & Experience
- Tertiary qualification in commerce or law
- A minimum of six years working experience in asset management compliance or similar assurance environments (e.g. internal/ external audit)
- Experience performing
- Investment Compliance Monitoring; and
- Coding rules;
- on an integrated Order Management System, with specific experience in Charles River (CRIMS) being advantageous.
- Experience with regulatory engagement and reporting.
- Excellent verbal and written communication skills.
- Excellent numeracy skills.
- Technical understanding of financial products and instruments.
Competencies & Personal Attributes
- Take initiative and work independently
- be assertive and self-motivated
- Pro-actively, solution oriented mindset
- Able to influence key stakeholders
- build effective relationships externally and internally
- work well under pressure
- work to process
- be adaptable, and able to embrace change
- work accurately
- take ownership of driving career development
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