Head of Compliance (Asset Management)

Our client is a dynamic growing Asset Management company which has an excellent reputation for offering a diverse range of investment products coupled with good performance. Due to this growth to become a large Asset Manager, they now have a new opportunity for a compliance expert to join their team.

Duties and Responsibilities:

1. Draft new policies required under new/amended regulations.
2. Responsible for the implementation and ongoing monitoring of adherence to company policies.
3. Annual review and update of company policies.
4. Review all new regulatory developments, summarizing and presenting the regulations to the legal team and/or board of directors.
5. Develop processes and systems to monitor adherence to company policies.
6. Draft and implement a marketing policy, addressing requirement for marketing different products in different jurisdictions.
7. Responsible for submission of all regulatory reports.
8. Serve as the main contact point for outsourced compliance officers.
9. Research marketing restrictions of funds and/or individuals in various jurisdictions and preparation of process document.
10. SA compliance includes compliance with: FAIS, POPIA, FICA.
11. Assist with ad hoc queries on CISCA permissible instruments (or other regulatory limits, i.e. Pension Funds Act, Medical Schemes Act, etc.).
12. Compliance record-keeping, registers, filing system.
13. Oversight of functions performed by junior compliance analyst.
14. All other compliance matters.
15. Share and transfer product, process and systems knowledge to colleagues.
16. Collaborate and work with internal teams to deliver required service levels.
17. Ensure achievement of own performance objectives.
18. Share information with other team members regarding successes, issues, trends and ideas.
19. Participate in own professional development and career path.

Qualifications:

Legal degree is imperative.

Experience:

5-10 years of experience in related role within the Asset Management. Must be able to draft company policies and interpret local and international laws.

Competencies:

1. Strong organisational skills and attention to detail.
2. Ability to problem solve.
3. Ability to work independently (self-starter) and collaboratively in the team in a fast-paced environment.
4. Proactive: Takes initiative to anticipate and address issues before they arise.
5. Detail-Oriented: Ensures accuracy and thoroughness in all tasks.
6. Output-Focused: Demonstrates a strong commitment to understanding and meeting the needs of stakeholders (internal or external).
7. Collaborative: Works effectively and manages the relationship with both internal teams and external stakeholders and service providers, fostering strong relationships.
8. Exceptional verbal and written communication skills, with the ability to engage confidently with teams and stakeholders.
9. Proficiency in Microsoft Office Suite (PowerPoint, Excel, Word).

To apply for this role please send your CV and supporting documentation to operations@asearch.co.za