Recent Openings at CA Financial Appointments

Responsibilities:

• Assist in the initialisation of building a capability to conduct internal assurance of ESG data
• Help the ESG Manager define an approach, process and roadmap
• Prepare the business for external assurance of a subset of the ESG indicators assured
• Liaison with external auditors to share working papers
• Be able to share knowledge and upskill others to conduct ESG assurance
• Conduct ESG audits in accordance with a risk-based approach in line with IIA standards
• Identify and understand the relevant ESG reporting frameworks
• Prioritise the area indicators determined by the organization as most material
• Determine the risks relating to ESG reporting requirements and metrics
• Establish effective monitoring of ESG processes and systems
• Leveraging automation and technology
• Ensure completeness and accuracy of the ESG non-financial data and underlying processes
• Mitigate legal risks and reputational damage
• Conduct internal audit assignments following a risk-based approach as per IIA standards
• Design and execute audit plans and programs
• Plan, co-ordinate and conduct independent audits
• Provide timely reports to management of all audit findings and recommendations
• Comply with quality assurance systems as per the IIA standards
• Deliver a best practice assurance service in line with IIA standards
• Support the delivery of the approved audit plans
• Increase management focus on the effective application of controls

Requirements:

• CA (SA) with 5-7 years appropriate internal audit experience (post articles) OR 
• CIA with  8-10 years appropriate internal audit experience
• Extensive ESG Audit knowledge and at least 3 years of ESG audit experience.
• Exposure to ESG taxonomy and latest developments within this field

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Responsibilities:

• Support, guide, aid management and staff across the value chain to drive risk management
• Ensure risk management processes (identify, measure, respond, monitor and report risk) are implemented within allocated business units 
• Oversee implementation of risk policies, review if necessary, challenge policy compliance attestations conducted by management
• Review and challenge the adequacy and effectiveness of the risk management system and internal control environment
• Review completeness of the identification of risks to the achievement of business strategy and objectives
• Advise management and staff on developing processes and controls to actively manage risks
• Advise on management actions to reduce risks, including as it relates to remediation of control weaknesses
• Investigate, examine and report on risk events (operational losses) in line with Group requirements, advise on appropriate remedial actions, effectively address control weaknesses
• Prepare accurate and complete risk reports and dashboards for tabling at various governance structures 
• Conduct reviews as part of the Group’s combined assurance model
• Conduct risk oversight related to business projects and change initiatives
• Build strong working relationships with key stakeholders across assigned business units 
• Liaise with the Group Internal Audit function on audits conducted, provide assurance on timely and appropriate resolution of audit findings

Requirements: 

• Minimum of CA(SA), or BCom qualification 
• Experience in Risk management, Internal audit, Financial services industry (Asset management an added plus)  
• Knowledge of enterprise risk management systems and process analysis techniques 
• High attention to detail, analytical thinker and problem solver
• Ability to work well under pressure 
• Excellent organisation and planning skills
• Strong relationship building skills 

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Responsibilities: 

• Support and assist with all relevant products, services and processing 
• Filter relevant feedback to management from financial advisors 
• Resolve and manage queries 
• Support consultant team when necessary 
• Action instructions from financial advisors and investors accurately and timeously 
• Follow processes and procedures accurately and timeously 
• Manage client follow ups 
• Flag errors and identify ways to streamline future processes 

Requirements:

• Minimum of a completed tertiary qualification or currently be completing an undergraduate degree, preferably in commerce / finance 
• Minimum of 1- 3 years’ experience in a similar role with experience in unit trusts / investments 
• MS Office and MS Excel proficient as well as investment systems 
• Must have the ability to work well under pressure and ability to stick to deadlines
• High attention to detail
• Client services experience essential, good telephone manner and professionalism
• Excellent organizational and planning skills, be proactive
• Can-do attitude and a good team player

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Responsibilities: 

Reporting

• Download portfolio holdings, run daily import macros 
• Produce and distribute necessary information for monthly and quarterly client reports 
• Produce monthly portfolio performance returns for all clients 

Operations

• Produce monthly fund performance figures and update spreadsheets 
• Update monthly factsheets and minimum disclosure documents 
• Submit monthly data for industry surveys, liaise with survey providers for inclusion of new funds and amendments 
• Assess monthly draft surveys received and confirm with survey providers 
• Manage ad hoc information requests from all clients 
• Keep B-BBEE stockbrocker information
• Manage client investments/withdrawals ensure it is correctly processed with admin and liaise with portfolio manager 
• Produce monthly performance and holdings comparative analysis of other investment firms 

Trade Support 

• Collaborate with admin and brokers to resolve trade mismatches, for local and global trades 
• Create and submit end of day trade file 
• Assess and signoff daily portfolio mandate check 
• Produce monthly brokerage allocation analysis 
• Open new trading accounts with brokers 
• Secure data from Bloomberg terminal needed for month-end 

Client Service 

• Help with ad hoc due diligence questions 
• Help with take on of new clients and update relevant internal spreadsheets and processes 
• Manage ad hoc information requests from clients 

Corporate Actions 

• Submit proxy votes 
• Produce proxy voting reports for various clients 

Requirements: 

• Minimum of completed tertiary qualification BCom Accounting or equivalent 
• Minimum of 2 years investment operations experience 
• Must be proficient in Microsoft Office and Excel 
• Strong numerical skills, accuracy and attention to detail 
• Highly organized and structured 
• Good communication skills