Senior Compliance Officer
Role
Senior Compliance Officer
Location
Northern Suburbs, Cape Town
Industry
Investments
Our client is a boutique investment firm that hosts some of the top independent multi-managers in the industry.
To assist the Governance Team, External Compliance Officer and Investment Partners with overall compliance legislation, taking the lead role specifically for all matters related to CISCA.
Key Responsibilities
Implement and apply a risk-based approach to CISCA
Daily portfolio compliance monitoring
Assist with the compilation and evaluation of the group Risk Management and Compliance programs
Provide advice and guidance in relation to legislative / regulatory requirements
Identify training requirements on all aspects of CISCA
Continuous improvement and documentation of the CISCA process changes
Understand the digital landscape, identifying system improvements or alternative systems that can improve overall team efficiency
Requirements
8-10 years’ experience in a CISCA compliance role (or similar role)
Compliance qualification (advantageous)
Detailed up to date understanding of CISCA regulatory framework, principles and standards
Strong understanding of Reg 28 and Board Notice 90
Good working knowledge of financial services legislation
Confidence in preparing and delivering presentations on topics such as changes in regulations / new developments that impact the business
Team player with effective interpersonal skills
Good attention to detail
Excellent operational efficiency
Thank you for your interest. If you do apply for this opportunity, but do not hear from us within two weeks, please assume that your application has not been successful on this occasion.