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Vacancies

Junior Regulatory Compliance Administrator (Prescient Management Company (PManco)

Reporting line

Prescient Manco Compliance Officer

Location

Westlake

Business Unit

(Prescient Management Company (PManco)
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To provide support to ensure compliance with applicable legislative requirements surrounding the marketing and advertising of collective investment funds to a range of clients and stakeholders within diversified financial services including Investment Management, Fund Services, Wealth Management and Retirement Fund solutions.

DUTIES & RESPONSIBILITIES

  • Reviewing all relevant marketing material pertaining to Prescient’s collective investment funds, as well as all foreign funds registered under section 65 of CISCA on Prescient’s platform, to ensure compliance with Board Notice 92 (or equivalent regulation).
  • Liaise with all managers regarding any changes required.
  • Liaise with all managers to ensure submission deadlines are met.
  • Ensuring that all managers are aware and kept abreast of Board Notice 92, other applicable legislation and ASISA Standards as they apply to them and their funds.
  • Assist with marketing related queries from managers.
  • Submission of marketing material via the FSCA portal.
  • Liaise with the FSCA regarding queries raised on any marketing material.
  • Monitoring Prescient’s and third-party manager’s websites to ensure compliance with relevant legislation and industry standards.
  • Involvement with ad-hoc investment and regulatory compliance tasks and projects, as may be required.

REQUIRED EXPERIENCE

  • Approximately 1-2 years’ experience in a Board Notice 92 related role gained from a Collective Investment Scheme Management or related environment is preferable.
  • Sound foundational understanding and exposure to CISCA including but not limited to Board Notice 92.
  • Knowledge of relevant ASISA Standards and associated Guidelines.

REQUIRED QUALIFICATIONS

  • Relevant tertiary qualification, for example: degree or diploma in finance/ commerce/ law (or studying towards a relevant tertiary qualification).

KEY COMPETENCIES

  • Ability to work under time pressure around submission deadline times.
  • Highly organised 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.
  • Accuracy and attention to detail are of the utmost importance.
  • Self-starter who is self-driven and self-directed.
  • Strong work ethic.
  • Honesty and integrity.

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

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