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Investment Compliance and Regulatory Reporting Specialist

Reporting line

Manager: Manco Compliance & Risk

Location

Westlake, Cape Town

Business Unit

Prescient Fund Services
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To provide regulatory reporting expertise to a range of clients and stakeholders within diversified financial services including Investment Management, Fund Services, Wealth Management and Retirement Fund solutions.

DUTIES & RESPONSIBILITIES

  • Oversight of regulatory reporting function including instrument classification and reporting review and delivery to regulator and client
  • Assist and provide guidance to compliance data analyst with instrument classifications and queries
  • Liaising with asset managers, regulators, trustees and internal stakeholders to ensure regulatory reporting requirement are met
  • Review and delivery of all regulatory reports required in terms of relevant legislation, including Board Notice 90, REG28, CISCA,SARB and ASISA to the relevant Regulator and client.
  • Ensure regulatory reporting deadlines have been met
  • Reporting and liaising of investment breaches to asset manager
  • Maintenance of breach register
  • Assisting on and oversight of fund application process
  • Assist on audits
  • Involvement with ad-hoc investment and regulatory compliance tasks and projects, as may be required

REQUIRED EXPERIENCE

  • Approximately 3-4 years’ experience in a regulatory reporting related role gained from an Asset Management/related environment
  • Sound foundational understanding and exposure to the various applicable legislation including, but not limited to: CISCA ( including Board Notice 90 and Board Notice 52), REG28, SARB exchange control regulation
  • Knowledge of ASISA Standards and associated Guidelines  

REQUIRED QUALIFICATIONS

  • Relevant Tertiary Qualification for example: degree or diploma in finance/ commerce/ law/ information technology and systems (or studying towards a relevant tertiary qualification)

KEY COMPETENCIES

  • Ability to work with large volumes of data from different systems and distil data for regulatory reporting purposes
  • Ability to work under time pressure around submission deadline times
  • Highly organized and good time management skills
  • Strong problem-solving ability
  • Ability to research (new funds, instruments and legislation)
  • Ability to work well independently as well as in a team environment

WHY THIS ROLE?

This is a brilliant opportunity to apply your skills and experience in support of a dynamic, highly competent investment Compliance team and grow your understanding of the asset management environment. This opportunity promises excellent exposure, growth, challenge, and reward. 

INTERESTED? APPLY NOW

Position

Investment Compliance and Regulatory Reporting Specialist

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