Fresh Jobs at Prescient

Purpose of role:

• The Regulatory Compliance Specialist is responsible for the oversight, governance, and ongoing regulatory compliance of foreign collective investment schemes registered for sale in South Africa under S65 of Collective Investment Schemes Control Act (CISCA).
• The role ensures that all S65 schemes represented or overseen by the business comply with CISCA, FSCA requirements, and related regulatory standards, while acting as a key liaison between offshore fund managers, internal stakeholders, and the regulator.

Duties and responsibilities:
Section 65 Scheme Oversight

• Provide regulatory oversight of S65 approved collective investment schemes represented in South Africa by PManco.
• Maintain oversight of the business’s obligations as local representative / regulatory contact in terms of Section 65 of CISCA.
• Monitor scheme structures, approvals, and ongoing compliance status, ensuring alignment with FSCA conditions of approval.
• Track and manage regulatory commitments, undertakings, and conditions attached to S65 approvals.

Regulatory Compliance & Monitoring

• Conduct ongoing compliance monitoring of S65 schemes against CISCA, FSCA standards, and guidance notes.
• Review scheme documentation, including prospectuses, supplements, offering memoranda, and marketing material for regulatory compliance.
• Identify, assess, and escalate regulatory breaches, risks, or emerging compliance issues related to S65 schemes.
• Support regulatory reporting obligations, including periodic submissions and ad‑hoc FSCA requests.

 Regulatory Engagement & Advisory

• Act as a key point of contact with the FSCA on S65‑related matters, including approvals, queries and regulatory correspondence.
• Provide regulatory guidance and advice to internal stakeholders and offshore fund managers on South African CIS requirements.

 Governance, Risk & Controls

• Contribute to governance and risk reporting relating to S65 schemes, including compliance dashboards, risk assessments, and board or committee papers.
• Support internal and external audits, regulatory inspections, and due‑diligence reviews related to S65 oversight.
• Assist with the development and maintenance of policies, procedures, and frameworks relevant to S65 scheme compliance.

Stakeholder & Cross‑Functional Collaboration

• Engage with offshore managers, administrators, and service providers to ensure consistent regulatory standards are applied.
• Support client, platform, or institutional due‑diligence processes relating to S65 schemes.

Required experience:

• 5+ years’ experience in regulatory compliance within the asset management, CIS, or Manco environment.
• Advantageous if you have experience with Section 65 of CISCA and offshore CIS oversight.
• Strong working knowledge of CISCA, FSCA regulatory framework, and related standards.

Required Qualifications:

• Bachelor’s degree in Law, Commerce, Finance, Risk Management, or a related field.

Key competencies:

• Highly organised with excellent time management.
• Able to work well in a team environment.
• Highly collaborative.
• Positive team player.
• 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.
   

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Purpose of role:

• Reporting to the Chief Financial, Risk and Compliance Officer, this regulatory Compliance role has the responsibility to cover a number of compliance requirements including FAIS, FICA, AML, JSE and A2X. The role also involves assisting the Board in ensuring adherence to internal policies and procedures while maintaining a strong compliance culture within the business. It is essential that you have a strong understanding of Stockbroking Operations and a working knowledge of FAIS, FICA and AML/CFT requirements.

Duties and responsibilities:

Regulatory Compliance, AML & Monitoring

• Conduct real-time monitoring of trading activity across all asset classes to ensure compliance, detect irregularities, and manage risks.
• Monitoring of daily CAPAD trading Limits and Monthly submission to JSE and A2X.
• AML – Conduct ongoing compliance and AML reviews in line with regulatory requirements and the company’s compliance program.
• Oversee access controls for trading and back-office systems to ensure compliance.
• Perform daily compliance checks to identify misdeals, outstanding allocations, incorrect journal entries, and faulty payments, escalating exceptions as required.
• Analyse root causes of compliance breaches and recommend corrective actions.
• Prepare and submit all FAIS regulatory reports within the required timelines.
• Ensure reporting obligations, both internal and regulatory reporting requirements, are conducted within required timelines.
• Take responsibility for the management and coordination of the regulatory and compliance training register, ensuring all regulatory training requirements are effectively tracked, reported and adhered to.

Stakeholder Engagement & Risk Management

• Provide guidance and support to internal business units on FAIS, FICA, and other relevant regulations.
• Report on compliance matters, business risks, and regulatory updates to the Board and Executive Committee.
• Build and maintain strong working relationships with Regulators and other key governance stakeholders.
• Assist in the development and implementation of risk-mitigation strategies to ensure adherence to financial laws and best practices.
• Coordinate regulatory engagements, including site visits.
• Escalate issues of non-compliance and manage all incident reporting to the Board and Exco.
• Ad hoc assistance and support to the Board as required.
• Take responsibility for managing counterparty due diligence processes, including responding to requests, coordinating internal stakeholders, and ensuring information provided aligns with regulatory and internal standards.
• Represent PSec at Compliance Committees as required.

Policy & Process Management

• Ensure company policies and procedures remain up to date and aligned with regulatory requirements.
• Review client and supplier accounts to ensure FICA compliance.
• Participate in regulatory audits and liaise with regulators as needed.
• Maintain and enhance business processes to strengthen compliance frameworks.
• Contribute to process improvements and development of data-driven reporting.
• Participate in Business Continuity Planning (BCP) testing as required.

Regulatory Awareness & Training

• Stay abreast of changes in legislation and assess their impact on business operations.
• Provide insights on upcoming regulatory changes and recommend effective implementation strategies.
• Conduct internal compliance training to foster a strong compliance culture within the organization.
• Ensure employees adhere to FAIS Fit & Proper requirements.

Required experience:

• 8 - 10 years’ experience in a similar role in stockbroking or financial services where you have had exposure to the full compliance function.
• Strong knowledge of FAIS, FICA, POCA, and other relevant financial regulations.
• Strong expertise in stockbroking operations, including local and international settlements.
• Experience in monitoring FAIS compliance, including Fit & Proper requirements.
• Proficiency in MS Office (Excel essential).
• In-depth knowledge of FICA and KYC documentation requirements for both domestic and international entities.

Required Qualifications:

• BCom, B.Compt, BSc, LLB, FRM, or an equivalent qualification is essential.
• Preference for completion of or registered to complete the following SAIFM Exams:
• JSE Equity Compliance Officer exam
• JSE Derivatives Compliance Officer exam
• SAIFM Introduction to financial markets RPE
• SAIFM Regulation and Ethics RPE
• SAIFM Bond Market RPE
• SAIFM Derivative Market RPE
• BCom, BCompt / equivalent is advantageous

Key competencies:

• Analytical – Collects, research, and processes data and information intuitively; develops effective processes.
• Problem Solving, Proactive and curious – Identifies and resolves problems in a timely manner; provides solutions.
• Balance attention to detail with broader risk awareness.
• Strong Verbal and Written Communication.
• Positive Team Player – with strong communication and stakeholder engagement skills.
• Balances team and individual responsibilities; values feedback; builds team spirit.
• Deadline Driven – Meets deadlines; works well under pressure.
• Quality Management – Promotes and demonstrates quality and accuracy; applies feedback to improve performance.
   

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Purpose of role:

• Responsible for the implementation of effective risk management policies and procedures to identify, measure, manage and monitor, on an on-going basis, all portfolio risks relevant to the Management Company’s (“Manco”) schemes, including the investment strategies to which the underlying portfolios are or may be exposed.

Duties and responsibilities:
Market Risk Function

• Responsible for real-time risk measurement and analysis of fund positions, as well as daily reporting and limit monitoring for Board Notice 52 funds.
• Working closely with external risk data providers to analyse and determine any risk breaches in the BN52 funds.
• Reconciling on a daily/monthly external risk data to closed off NAV figures to ensure the correct holdings have been accounted for in the risk calculation, ensuring correct mandate/Board Notice 52 limits are adhered to.
• Ensuring that the risk profile and investment activities of the portfolios disclosed to investors are consistent with the risk limits that have been set out in the fund mandates and Board Notice 52. This includes the accurate calculation of fund exposures to ensure funds are in line with their mandates and regulation.
• Monitoring the risk limits set in the policy and escalating to EXCO as required.
• Timely production and distribution of Monthly (by the 14th day of each month) and quarterly consolidated risk reports to the FSCA (currently for BN 52 funds only).
• Produce and distribute quarterly investor reports detailing certain risk and fund data. This includes providing the reports to managers for review and comment before distribution.
• Produce and distribute comprehensive monthly risk reports to fund managers and trustees, including an executive summary of any issues or breaches encountered during that period.
• Work closely with fund accountants to ensure the timely closing of funds and accurate capture of positions.
• Work closely with Manco compliance to confirm fund exposures or breaches for reporting.
• Perform quarterly risk and performance attribution for the long only funds on the Prescient Management Company, giving each client a risk weighting and ensuring they are not deviating from their mandate.
• Produce audit and risk committee Hedge fund report semi-annually.
• Assist in the annual audit of the BN52 funds including the provision of full risk reports to the auditors and clearing of any queries raised.
• Instrumental in interacting with Prescient Analytics in their services to the Manco.

Required experience and qualifications:

• Relevant experience of at least 2 years + in a similar Risk analyst role in Financial Services.
• A solid understanding of the financial markets and instruments as well as the regulations which govern the industry.
• Financial Qualification / Pref Honours (Finance, Accounting, Audit, Risk Management) required.

Key competencies:

• Attention to detail and accuracy.
• Ability to prioritise tasks.
• Able to take initiative.
• Time management is essential to meet relevant deadlines.
• Proficient in Excel.
• Market and financial product knowledge is essential.
• Communication and relationship building. Dealing with a broad range of stakeholders i.e. portfolio managers, administrators, external risk providers, Trustees, Manco and PFS Directors, compliance reps and the regulator.
• Ability to digest and operationalise new legislation/ regulations.
   

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Purpose of role:

• To deliver industry-leading events, client engagements, and sponsorship initiatives that align with Prescient’s business and marketing objectives, ensuring every event delivers on relevant brand and client experience standards across face-to-face and virtual formats.

Duties and responsibilities:
Core Duties & Responsibilities (Events and Brand Delivery)

Plan and deliver strategic events and client engagements

• Conceptualise (where relevant), plan, manage, and coordinate logistics for client engagements and events (in-person and virtual) across the Group.
• Create detailed event briefs (objective, requirements, budget, sponsor/key contact) and provide conceptual/creative guidance to internal teams and external suppliers.
• Ensure events deliver on Prescient brand and client experience standards.
• Critically evaluate how each event fits into the marketing strategy and ensure it adds value to business objectives.
• Source and recommend suitable venues where applicable; coordinate suppliers to deliver high-quality outputs.

Budgeting, governance, and post-event reporting

• Prepare detailed budgets, secure approvals, and provide post-event budget reconciliation and analysis with key learnings for future improvement.
• Manage the invitation process, monitor and report on RSVPs, and capture attendee information relevant to event logistics (with strong attention to detail).

Sponsorships + industry event management (Group-wide)

• Act as the primary contact for strategic industry events and sponsorship participation across entities, including managing deadlines for branded materials, business information, and payments.
• Coordinate with marketing teams and business stakeholders to create/source brochures, video, and branded materials required for sponsorships and industry events; brief external service providers when needed.

Brand-aligned collateral, gifting, and promotional items

• Procure promotional and branded items aligned with Prescient brand standards.
• Build and manage a supplier network.
• Stay current on new gifting concepts; manage stock and monthly recharge where required.

Internal events and marketing team support

• Provide logistical support for internal marketing events and strategy sessions (room/venue bookings, guest speakers, Group year-end events, etc.).
• Update and circulate the corporate events calendar regularly.
• Support marketing overflow projects and administration; contribute to the conceptualisation and execution of end-to-end marketing campaigns where needed.

Required experience:

• Minimum 4 years’ experience in an Events Specialist / Events Planning role within financial services (or closely comparable professional services environment).
• Experience implementing and managing global in-person and virtual events.
• A valid driver’s licence is essential for this role, as travel is required.

Required Qualifications:

• Marketing-related qualification (National Diploma / Degree).

Key competencies:

• Exceptional attention to detail and accuracy.
• Ability to turn events into marketing “moments”: pre-event awareness, during-event storytelling, and post-event follow-through (content and relationship momentum).
• Strong instinct for brand detail: look/feel, tone, guest experience, and consistency across touchpoints.
• Comfortable collaborating with digital marketing, design to brief assets and ensure approvals/sign-off are tight.
• Ownership mentality: accountable for delivering high-quality outcomes.
• Proactive, takes initiative, proposes creative solutions.
• Creative and conceptual thinker; curious and ideas-driven.
• Highly organised with strong time management; can work independently and in a team.
• Strong communication skills and stakeholder management; able to build strong working relationships.
• Builds technical knowledge of business units and clients to improve event relevance and execution.

Values & Behaviours (aligned to Prescient’s expectations for the role)

• Be Exceptional (resilient, high standards, delivers results).
• Build Trust (thorough, long-term thinking, certainty-led execution).
• Instil Accountability (responsible, team-minded, inspires follow-through).