Senior Compliance Officer

Futuregrowth

Western Cape
Permanent
Full-time

7 days ago

Who is Futuregrowth?Futuregrowth has been South Africa’s leading developmental, responsible and fixed-income investor for over 25 years. We manage a range of fixed interest and development funds and play a key leadership role in the South African asset management industry. We are committed to investing our clients’ funds in a responsible manner, with the interests of our clients always coming first.Purpose of the positionTo assist in the development, implementation and monitoring of a compliance framework across all facets of the business. A key component would be development to fulfill a Compliance Officer role in the medium term.Key responsibilities of the position1. Reinforcing and embedding an appropriate compliance culture across the business.
2. Managing the development, implementation and maintenance of compliance risk management and monitoring plans.
3. Ensuring that staff comply with applicable legislation across the company, including training to be conducted when required.
4. Keeping up to date and knowledgeable on legislation affecting institutional asset management, specifically:

Protection of Personal Information Act (POPIA);
Financial Advisory and Intermediary Services Act; and
Financial Intelligence Centre Act;
CISCA
Regulation 28; and
Medical Schemes Act

5. Investigating and driving resolution of compliance-related breaches.
6. Drafting compliance reports.
7. Providing an advisory role within the business.
8. Maintaining relevant regulatory registers (e.g., representative register, breach register, etc.).
9. Preparing and presenting compliance reports (e.g., Board reports, regulatory reports, etc.).
10. Drafting and implementing new policies as well as amending existing policies.
11. Serving as a knowledge hub to the business.
12. Looking for innovative compliance solutions and methodologies to implement within the business.
13. Acting as the compliance lead on various projects within the business.
14. Engaging directly with clients, in terms of presentations and due diligences.
15. Collaborating with Omig and OM Compliance to obtain best solutions and manage alignment.Skills, know-how and experience:

5 Years’ minimum related experience with most of it preferably in asset management;
Knowledge of and experience in the following:

Protection of Personal Information Act (POPIA);
Financial Advisory and Intermediary Services Act;
Financial Intelligence Centre Act;
Pension Funds Act;
CISCA
Knowledge of the following would be considered advantageous:

Financial Markets Act (specifically around Inside Trading); and
Knowledge and practical application of the Charles River system would be advantageous.

Technical/ professional qualifications:

LLB; and
Certificate in Compliance Management would be an advantage

Key behaviours and competencies:

Problem solving skills;
Aptitude for building and maintaining relationships;
Aptitude for teamwork and collaboration;
Quality orientation (includes attention to detail);
Ability to be client focused;
Stress tolerance;
Good communication skills, both written and verbal;
Capacity for initiating action;
Planning and organising skills;
High work ethic;
Confidence and the ability to remain independent at all times;
Curious and wanting to learn;
Results orientation;
Collaborates effectively; and
Integrity.

Recruitment processSelected candidates will need to attend a series of competency-based interviews/ activities and a psychometric assessment.

Futuregrowth

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