Current Openings at Apex Group

• The role will consist of supporting all the legal and regulatory compliance activities of the Boutique Collective Investments Manco and related FSPs. 
• The Compliance Administrator will work alongside and support the local Compliance team and Compliance Manager and Investment Legal Specialist 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.   

Regulatory Compliance duties: 

• Assist with the implementation of the Compliance Monitoring programme including all monitoring activities. 
• Assist with the onboarding of Partners and Clients on the DocFox online Fica System.  This will include following up on outstanding documents and provide reporting and escalations as required. 
• Review client KYC documentation and complete due diligence checks. 
• Monitor and support 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. 
• Maintain a register of complaints, conflicts of interest, compliance, data breaches, high-risk clients and actively manage adherence to the related process and mitigation of breaches. 
• Providing assistance and support in satisfying staff training and development needs and plans in relation to new regulations and legislation. 
• Documentation Management - Maintaining comprehensive compliance and legal registers. 
• Assist with monitoring of the regulatory risks within the business. 
• 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. 
• Undertake projects such as those projects addressing new regulatory initiatives and the review of existing policies. 
• Monitor data protection compliance within the entities and help the entities to be accountable in this respect. 
• Assist with the preparation of compliance reports to management and various committees. 
• Ad-hoc compliance duties as assigned by the line manager. 

Skills and experience required 

The successful candidate will meet the following requirements: 

Skills 

• Strong working knowledge of the South African financial service's regulatory framework. 
• Strong working knowledge of the Data protection 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 organised, with the ability to work autonomously and deal with a busy workload. 
• Well, organized with the ability to work autonomously and deal with busy workload. 
• Self-motivated, mature and able to use initiative. 

Education and Experience 

• Degree level qualification, or equivalent 
• 3-5 years’ relevant work experience in the Financial Services Industry, preferably within a Collective Investment Scheme. 

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. 
• Attendance at external seminars and training events as may be required. 
• Reporting structure 
• The Compliance Administrator will report to the Compliance Manager and Investment Legal Specialist based in Bellville. 

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Description

• The primary responsibility of this position is the accountability for the cash and scrip reconciliations and reporting for Apex clients. The individual is responsible to ensure that tasks performed within the team are administered efficiently, accurately and within daily and monthly deadlines.

Job specification  

• Reconcile the cash accounts on InvestOne to the bank account for settlement of trades, income, and expenses;
• Identifying all timing difference and valid reconciliations items;
• Communication and follow up of reconciliation items with internal and external clients.
• Resolution of reconciliation items
• Ensure that all transfers are processed correctly on InvestOne and confirmed with the counterparty;
• Reconcile the scrip positions on InvestOne to the bank scrip depository accounts;
• Identifying all timing differences and valid reconciliations items;
• Communication and follow up of reconciliation items with internal and external clients.
• Resolution of reconciliation items.
• Maintaining relationships with internal and external clients.

Skills Required:

• The position requires someone with a diploma or degree.
• Relevant industry/Asset Management experience.
• Relevant reconciliations experience.
• Strong numerical and analytical skills.
• Attention to detail and structured work approach.
• Excellent communication skills, both written and verbal.
• Confident, enthusiastic, pro-active and able to work under pressure.
• Intermediate Excel skills.