Active Jobs at Apex Group

Summary of the position:

• The Specialist: Investment Compliance Support Services is first and foremost the regulatory specialist in the Investment Compliance Support Services (“ICSS”) team.
• The ICSS team reports both regulatory and bespoke mandate compliance breaches to clients daily on a post-trade basis and provides the functionality to our clients for monitoring breaches on a pre-trade basis as well, from NX Manager.
• The team also produce monthly regulatory holdings reports to clients, run from the data warehouse, and enriched with data from both
• InvestOne and NXManager.
• External Manager look-through is performed for monthly reporting.The role requires good knowledge/experience across the investment and operational cycle.
• The role largely entails the interpretation of both mandates and legislation/regulation to effectively translate the regulation into workable compliance rule results, upon which our clients depend for guiding their investment decisions within client mandates and prescribed regulation.
• The role will collaborate within the ICSS team and other relevant teams to ensure that the interpretation is successfully applied to both the NX Manager platform (enabling pre- and post-trade compliance) as well as the Compliance Reporting Warehouse.
• Whilst the primary focus of the role is thus the interpretation of mandates / regulation / legislation, there is also a requirement to have a working knowledge and understanding of the process of converting this interpretation into rules within the technology platform.
• Therefore, strong technical or operational knowledge of investment instruments and issuers is required, as experience on NX Manager (Decalog) (preferred) or another comparable compliance monitoring system is ideal.In support of the above, the basis of successful compliance rule monitoring and reporting is the continual oversight on static and market data to ensure correct classification into regulatory rulesets.
• You will be required to assist with the processing of external manager data and mapping instruments for ingesting into the Apex systems and thus will work closely with the Instrument and Fund Setup team to update and maintain static data integrity for investment compliance purposes.
• Data and issuer market capitalization checks will be required.

Outline of main duties and responsibilities :

• Reporting: Rotation of daily post-trade reporting; monthly compliance reporting (Reg28 and Reg30).
• Monthly pre-reporting checks to ensure sound and consistent instrument and issuer classifications for monthly reporting.
• Troubleshooting classification issues, cleaning static data to support daily monitoring and monthly report integrity.
• Support the efforts within the ICSS team in respect of interpreting and documenting legislative, regulatory and mandate compliance requirements applicable for use in NX
• Manager and the Compliance Reporting Warehouse.
• Documenting the interpretation of legislative or regulatory changes, in a manner which allows for these documents to be circulated internally at Apex or externally to clients, and input into planning for these changes.
• Testing of all changes and developments.
• Developing, coding, and implementing compliance rules to NX Manager.
• Critically reviewing compliance rules to improve integrity on an ongoing basis.
• Following of proper test protocol in UAT environment and change control protocol of rules into the production environment.
• Being pro-active in solution-finding and regularly question processes and “status quo’s” to constantly improve.
• Providing professional support to the Apex client base in respect of compliance related queries, including interpretation, breaches, reporting, etc.
• Build excellent rapport with clients in developing their confidence in our service offering, by ensuring your full understanding of their requirements, and maintaining such well managed relationships to achieve the best results for the clients.
• Supporting the business development effort in expanding the Compliance Support Services function, thinking with a business brain.
• Actively strive to live by and operate within the Apex core values.
• Actively drive and contribute to a culture of quality/excellence, through risk awareness and adherence to compliance standards and all relevant operational controls and processes.

Required Skills and Experience

The successful candidate will possess:

• An accounting or business degree (minimum B. Com or equivalent) together with at least 4-5 years fund administration/management experience in a compliance related role.
• Certificate in Compliance Management.
• Strong numerical and analytical skills to review fund compliance reports in detail and respond to queries.
• The role requires excellent Excel skills to analyze portfolio exposures and structures, and to enable manual calculation of desired compliance rule outputs.
• Agile and flexible thinking (“thinking on your feet”), creative thinking for solving problems.
• Strong knowledge of the full investment process starting from the portfolio manager’s investment decision through operational process to client reporting.
• Strong knowledge and understanding of the regulatory investment limits dominant in the
• Republic of South Africa such as Regulation 28, CISCA, Regulation 30, and short-and long-term insurance investment limits and how various instruments apply to these regulations.
• Attention to detail and structured work approach.
• Excellent communication and negotiation skills, both written and verbal, as the ICSS team is dependent on downstream operations. The rule requires confident interaction with all areas of the business to perform team tasks.
• Confident, self-motivated individual and able to work under pressure.
• Positive attitude.

Other requirements

• The role will require commitment to completion of tasks for clients that are set by deadlines.
• This will from time to time require longer hours.

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Description

• The role of the Senior Fund Accountant – UK Fund Accounting will be to perform and provide assurance on UK fund valuations as produced by the UK Fund Accounting Team.
• The main responsibilities of the role include the management, administration and accounting. The role will necessitate quality standards to be adhered to and will require of the individual to provide ad-hoc supervisory fund valuation review to support the Team Leader – UK Fund Accounting as and when needed.

Job specification  

• Ensure accurate calculations of fund valuations and accounting by monitoring cash and scrip reconciliations, expense accruals and exception reporting;
• Communicate and respond to queries originating from internal Fund Services operational teams and/or external from clients, assist team leader/s and managers in resolving all fund accounting queries;
• Ensure material NAV errors are identified, escalated to Team Leader and appropriately remediated;
• Perform review checks within the team (in the absence of the team leader);
• Document and continuously update operational processes, ensure fund valuation checklists are followed and implement controls to reduce valuation error risks;
• Manage Cherwell’s logged to the UK Fund accounting team, and resolve open items;
• Play a key role as part of project implementation of new funds to facilitate a smooth operational handover and monitor daily operational controls and checks to mitigate risk;
• Play a key role in cross training end to end operational functions within the UK Fund Accounting team, this will include, fund accounting, trade integration, corporate actions, custody reconciliations and fund reporting.

Skills Required:

• A BCom or similar, accounting, economics or investments background is preferred;
• The relevant experience includes at least 24 months experience in asset management portfolio administration and pricing of offshore funds;
• Proven competence and an aptitude for working with systems and its integration;
• Knowledge and experience with the use of InvestOne, NX Manager & Xceptor is an advantage;
• Computer literate with an excellent working knowledge of MS office & IT packages (particularly Excel);
• A strong all-round understanding and proven track record of experience in fund accounting and the trade life cycle as part of back office administration;
• Experience with offshore investment products (various fund types including Unit Trusts, Multi-Manager, Segregated Portfolios, ETF’s, Pooled products) will be an advantage; and detailed understanding of funds and fee structures.

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Job Summary: 

• The CRM Technology Manager will be responsible for overseeing the implementation, management, and optimisation of Salesforce and related technology solutions.
• This role requires a strategic leader with a deep understanding of Salesforce functionalities and the ability to drive efficiency and effectiveness across the organization.

Key Responsibilities:

• Manage Salesforce Systems: Oversee the implementation, configuration, and maintenance of Salesforce EcoSystem (Including Xactly/Pardot) ensuring they meet the organisation's needs.
• Team Leadership: Lead a team of CRM specialists, providing guidance, support, and development opportunities.
• Process Improvement: Partner with various departments to identify and implement process improvements, leveraging Salesforce capabilities.
• Project Management: Manage Salesforce-related projects, including system upgrades, new module implementations, and integrations with other systems.
• Stakeholder Engagement: Collaborate with key stakeholders to understand their needs and ensure Salesforce solutions align with business objectives.
• Compliance/Audit and Security: Ensure Salesforce system comply with regulatory/Audit requirements and maintain high standards of data security and privacy.
• Training and Support: Develop and deliver training programs for end-users and provide ongoing support to ensure effective use of Salesforce.

Qualifications:

• Experience: Proven experience in managing Salesforce systems and associated plaforms including implementation and optimisation.
• Leadership: Strong leadership skills with experience in managing and developing a team.
• Technical Skills: Proficiency in Salesforce and related technologies.
• Project Management: Demonstrated ability to manage complex projects and deliver results on time and within budget.
• Communication: Excellent communication skills, with the ability to engage and influence stakeholders at all levels.
• Problem-Solving: Strong analytical and problem-solving skills, with a focus on continuous improvement.
• Education: Bachelor's degree in Human Resources, Information Technology, or a related field. Salesforce certification is a plus.

About You:

• You have a deep understanding of Salesforce processes and how they can be optimised
• You are a strategic thinker with the ability to translate business needs into effective Salesforce configuration.
• You are passionate about leveraging technology to drive efficiency and improve employee experiences.
• You are a collaborative leader who can build strong relationships with stakeholders and inspire your team to achieve their best.
• Strong knowledge of Salesforce. Having led or been part of an implementation of Salesforce and managed the system once live is a must.
• Experience with Integrations, Reporting, Projects and Security is a must.
• Experience with reviewing system configuration before moving changes to production.
• Able to manage and prioritise the work of a team across multiple systems.
• Experienced in Salesforce transformation projects/ programmes where you're implementing systems and improving processes through process re-engineering.
• Good experience in educating stakeholders regarding Salesforce related processes and how they translate to wider business impacts.
• Able to identify problems, define the root cause, determine the solution and propose the solution.
• Able to translate technical expertise into solutions and process guidance to implement improvements or address user issues.
• Able to map processes, outlining risks and controls.
• Experienced in data analysis, data manipulation and reporting.
• Experience in managing system budgets and exercising cost containment/ cost reduction
• Excellent analytical, quantitative, problem-solving, critical thinking skills with a keen attention to detail

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Summary of the position

• The role will consist of supporting all the legal and regulatory compliance activities of the relevant Fund Administration entities. The Compliance Officer will work alongside and support the local Compliance team and appointed Head of
• Compliance to assist staff members in discharging their responsibility to comply with applicable legislative and regulatory requirements through the provision of compliance services and to identify, assess, manage, monitor and report regulatory compliance risks facing the organization.

Outline of main duties and responsibilities:

Regulatory Compliance duties:

• Ensure the effective implementation of the Compliance Monitoring program and undertake all aspects of monitoring activities as assigned by manager.
• Track non-compliant findings with respective business unit managers until resolved.
• Monitor compliance with applicable regulations which includes but is not limited to CISCA, FAIS, FICA, POPIA and the efficiency and consistency of compliance controls and assist with the enhancement of procedures and controls.
• Monitor the regulatory risks within the business.
• Maintain appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures.
• Maintain a register of PEPs, high risk clients, complaints, conflicts of interest, compliance and data breaches, and actively manage adherence to the related process and mitigation of breaches.
• Prepare training material and deliver training in compliance with regulatory obligations and business procedures.
• Participate in projects of various initiatives, such as those projects addressing new regulatory initiatives and the review of existing policies.
• Prepare compliance reports to management and various committees and governance structures within the group.
• Prepare and act as backup for regulatory reporting and submission to the relevant regulators in terms of applicable regulatory obligations.
• Act as the Deputy MLRO, support the establishment and maintenance of the group’s Anti Money Laundering policies, procedures, systems and controls in compliance with the Anti Money Laundering rules and all relevant legislation applicable.
• Monitor screening, suspicious transactions and provide reporting and escalations as required.
• Complete enhanced customer due diligence reports for senior management approval.
• Monitor screening of politically exposed persons and sanction monitoring and escalate potential concerns.
• Identify potential sanctions matches, as a result of screening.
• Consider the political exposure of potential clients and act appropriately.
• Monitor that a register of data processing activities is maintained by the relevant entities.
• Monitor data protection compliance within the entities and help the entities to be accountable in this respect.
• Monitor that all affected entities have made the necessary data protection notifications, and comply with applicable legislation, group policies and procedures in connection with data protection obligations.
• Support the Information Officer and Deputies to cooperate with the local regulators (responding to
• their requests about investigations, complaint handling, inspections conducted by the local regulators, etc.)
• Ad-hoc compliance duties as assigned by the line manager. 

Skills and experience required:

Skill:

• Strong working knowledge of the South African financial services regulatory framework;
• Discreet and confidential manner;
• Confidence and persuasiveness, with the ability to motivate colleagues and support the embedding of a positive compliance and risk management culture;
• Be well organized, with the ability to work autonomously and deal with a busy workload.
• Be prepared to get heavily involved in supporting the regulatory compliance function, investigating complex structures and considering appropriate KYC requirements and risk categorizations;
• Self-motivated, mature and able to use initiative.

Education and Experience:

• Degree level qualification, or equivalent, ideally in Law or Compliance and Risk Management.
• At least 3 years relevant work experience in Compliance.
• Preferably have obtain FSCA FAIS approval as a Compliance Officer for Category I Financial Services Providers.

Learning and development:

• You will receive training on a day to day basis by coaching and mentoring.
• Personal development plan will be agreed on an annual basis.
• Self-learning.
• Attendance to internal training including webinars, workshops and workgroups as may be required

What you will get in return:

• A genuinely unique opportunity to be part of an expanding large global business;
• Competitive remuneration commensurate with skills and experience.
• Training and development opportunities.