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  • Posted: Feb 5, 2025
    Deadline: Not specified
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    Our approach Investors take risks and entrust their hard earned money to our clients. At Curo too, the investment management community entrusts the administration of these assets to us. At the heart of Curo is our relentless drive to take care of, look after and effectively manage the investment administration of our clients. Commitment to our clients O...
    Read more about this company

     

    Legal & Compliance Officer

    Key Responsibilities

    Implementation and Execution of the Legal and Compliance functions

    • Review and administration of all business, vendor and client contracts including service level agreements, revising and updating these as required.
    • Drafting new business, vendor and client contracts including service level agreements.
    • Perform ongoing legislative risk analysis as it pertains to the business and reporting of any gaps in legislative compliance.
    • Execute a risk-based compliance monitoring framework and plan.
    • Assist in the completion of required compliance submissions to the regulators, i.e. FSCA, FIC, etc.
    • Assist in drafting and revising relevant compliance related company policies and communicate to the business.

    Legal and Compliance Consulting, Collaboration and Relationship Management

    • Keeping abreast of the laws applicable to Curo and its clients and ensuring that business units are aware of its position with respect to the law.
    • Timeously communicating changes in legislation and its impact to the business.
    • Assist with reporting to the applicable regulators, especially FSCA.
    • Assist with Legal or compliance advisory to management as required or perform necessary research.
    • Assist Human Resources with labour law issues that may arise.

    Assist company secretary

    • Assist the company secretary in duties where applicable.
    • Advise on Companies Act or Corporate Governance changes.

    Training and Awareness

    • Develop and deliver mandatory or non-mandatory training programs for employees on regulatory compliance, legal obligations, and ethical behaviour.
    • Promote a culture of compliance across the organisation, ensuring that employees understand their legal and ethical responsibilities.

    Report relevant legal and compliance information to the business and the Curo Board

    • Assist the GRC manager with draft reporting to management as regards to legal and compliance activities and status of compliance.
    • Assist the GRC manager with draft reporting to the Finance & Risk Committee as regards to the legal and compliance risk profile of the company.
    • Complete all regulatory reporting as and when required

    Qualifications & Experience

    • Bachelor’s degree in Law, Finance, Business Administration, or a related field.
    • A legal qualification or professional certification in compliance (e.g., ICA, CAMS) is preferred.
    • 5-7 years’ experience in legal and compliance within the financial services industry is beneficial.
    • Strong knowledge of securities laws, financial regulations, and corporate governance principles.
    • Experience with AML and KYC processes, as well as data protection laws.

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    Senior Fund Administrator: COACS

    Key Responsibilities

    Corporate Actions Management:

    • Identify, validate, and manage all corporate action events (e.g., dividends, stock splits, mergers, rights issues, buybacks) relevant to investment portfolios.
    • Liaise with custodians, brokers, and market sources to verify corporate action information and resolve discrepancies.
    • Ensure timely processing of corporate actions, including updating internal systems and client reporting.

    Data and Record Maintenance:

    • Accurately record corporate actions within fund accounting and portfolio management systems.
    • Maintain up-to-date records of entitlements, settlements, and any adjustments resulting from corporate actions.

    Client and Stakeholder Communication:

    • Communicate relevant corporate action information to clients, internal teams, and stakeholders in a timely and clear manner.
    • Respond to client queries related to corporate actions and their impact on portfolios.

    Risk and Compliance Management:

    • Ensure adherence to all regulatory, compliance, and internal risk policies related to corporate actions management.
    • Monitor for potential risks or errors and escalate issues promptly for resolution.

    Process Improvement:

    • Identify opportunities for improving corporate actions processes and workflows.
    • Support system enhancements, testing, and automation efforts to increase processing efficiency and accuracy.

    Stakeholder Collaboration:

    • Foster existing business relationships to ensure effective and efficient delivery, working with compliance, and operations teams to gather necessary data and insights.
    • Support and guide junior fund accountants, providing training and support to ensure accurate and timely completion of tasks.

    Process Improvement: 

    • Streamline fund administration processes to enhance efficiency and reduce errors.
    • Implement and maintain robust internal controls to safeguard fund assets and ensure data integrity.
    • Collaborate with other departments, such as legal, compliance, and portfolio management, to ensure smooth fund operations.

    Ad-Hoc Tasks:

    • Perform ad-hoc accounting and reporting tasks as requested by clients or management.
    • Ensure ad-hoc requests are handled efficiently and accurately

    Experience and Qualifications:

    • Bachelor’s degree in Finance, Accounting, Economics, Business Administration, or a related field.
    • CPA or CFA designation advantageous.
    • Good knowledge and understanding of the Financial Markets and Financial instruments.
    • Good knowledge of HiPortfolio an advantage.
    • 2-3 years of experience in corporate actions processing, fund administration, or a related role in financial services.
    • Experience with accounting software is advantageous.

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    Team Leader PSS

    Key Responsibilities:

    Team Leadership

    • Lead, mentor, and develop a high-performing team to ensure consistent delivery of high-quality outputs.
    • Provide regular feedback, conduct performance reviews, and foster a culture of accountability and continuous improvement.
    • Motivate team members by celebrating achievements, addressing improvement areas constructively, and ensuring alignment with organisational goals.
    • Ensure the team is cross-skilled and maintain an up-to-date skills matrix to enhance operational flexibility and resilience.

     Key BAU Deliverables

    • Manage daily operational deliverables, including accurate pricing and data scrubbing, in alignment with SLAs and client expectations.
    • Monitor workload distribution and reallocate resources as required to meet deadlines.
    • Maintain and update SOPs, checklists, and process documentation to ensure accuracy and efficiency.
    • Proactively log and address incidents, ensuring timely resolution and analysis to prevent recurrence.

    Risk Management and Internal Controls

    • Identify, assess, and mitigate risks within operational processes.
    • Establish and uphold strong internal controls to comply with client, regulatory, and market requirements.
    • Ensure all new processes are properly implemented and documented, and obsolete processes are decommissioned following due diligence.

    Process Improvement and Strategic Input

    • Evaluate existing processes and identify opportunities to enhance efficiency, reduce risks, and improve output quality.
    • Implement automation tools and technology to streamline workflows and boost operational productivity.
    • Contribute to strategic initiatives by analysing team performance and providing data-driven insights for decision-making.

    Reporting and Metrics

    • Monitor and manage key performance indicators (KPIs) for the team to track progress against goals.
    • Prepare regular reports for senior management, highlighting performance trends, risks, and areas for improvement.
    • Maintain transparent communication with stakeholders, ensuring timely updates on progress and challenges.

    Stakeholder Engagement

    • Liaise with internal teams, clients, and external service providers to ensure effective collaboration and resolution of issues.
    • Facilitate open communication across stakeholders to ensure alignment and shared understanding of objectives.
    • Represent the team in discussions with senior management, providing insights and recommendations.

    Compliance and Regulatory

    • Ensure all activities comply with regulatory frameworks, industry standards, and internal policies.
    • Support audits and regulatory examinations by providing accurate and timely documentation.
    • Contribute to the review and implementation of changes in policies and procedures, focusing on risk mitigation and efficiency.

    Ad-Hoc Tasks

    • Handle operational and reporting tasks as requested by senior management.
    • Ensure ad-hoc assignments are completed efficiently and with precision.

    Requirements

    Qualifications and Experience

    •  Bachelor’s degree in Finance, Accounting, Business Administration, or related field.
    • Minimum 3–5  years experience in operations management within financial services or investment administration.
    • At least 2 years in a leadership role, managing teams and operational workflows.
    • In-depth knowledge of financial markets, pricing methodologies, and investment operations.
    • Experience with financial systems and platforms (e.g., Bloomberg, MS Office Suite, advanced Excel).
    • Professional certifications such as CFA, CA, or equivalent are advantageous.

    Method of Application

    Use the link(s) below to apply on company website.

     

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