Job Opportunities 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:

• This is a specialist role to ensure operational deliverable and key business initiatives are met within Prescient Capital Markets business. It is critical to support key business initiatives and be able to adapt in fast past and evolving environment while ensuring ongoing operational deliverables are met.

Duties and responsibilities:

• Prepare JSE listings applications for all new ETF listings, including the Prescient Co-name ETF scheme in CIS Securities and 3rd Party Management Companies.
• This includes production of JSE Listings, document submissions, and ensure that all documentation is drafted and signed timeously with strong attention to detail at every touch point.
• Responsible for JSE continuing obligations for all issuers.
• Responsible for the processing of daily ETF secondary market trades as well as primary market creations and redemptions while performing a middle office oversight function to ensure safe settlement of the trades executed.
• Ensure all ad hoc processes (Fund accounting instructions, Payment instructions) are accurately prepared and submitted to relevant parties.
• Daily and monthly reconciliations (Cash and Custody reconciliations)
• Responsible for distribution processes for all issuers as per the JSE Corporate action timetable.
• Engage with relevant stakeholders to ensure JSE listing requirements (DSS requirements) are met for passive and actively managed ETFs.
• Working closely with the Operations Manager of PCM to assist and support in driving and implementing ongoing strategic initiatives.
• Ensure that all procedures, processes, and controls are adhered to and that the key deliverables are met.

Required experience:

• 1–2 years’ experience in financial services, ideally within fund administration, capital markets operations, exchange‑traded products, or investment operations.
• Exposure to ETFs, CIS structures, or JSE listings processes would be advantageous.
• Experience performing daily operational processes, reconciliations, trade support, or middle‑office oversight.
• Familiarity with corporate actions, settlement processes, or broker/market‑maker engagement beneficial.
• Prior experience working with multiple stakeholders, including custodians, brokers, asset managers, or service providers.

Required Qualifications:

• BCom Finance, Investments, Economics, Accounting, or equivalent.
• Additional coursework or certification in capital markets, financial instruments, or investment administration, would be advantageous.

Key competencies:

• Comfortable with a fast-paced environment.
• Problem-solving, with a calm and positive attitude.
• Trustworthy and reliable.
• Self-driven and hard working.
• Positive, proactive team player.
• Eager to learn.