Job title: Compliance Officer
Job type: Permanent
Emp type: Full-time
Industry: Financial Services (Asset Man, Wealth & Other)
Expertise: Legal, Risk & Compliance
Salary type: Annual
Location: Cape Town
Job published: 03-08-2020
Job ID: 34461
Contact name: Brylea Purnell
Phone number: 021 555 4402
Contact email:

Job Description


Compliance Officer Investments

A well-known and established asset manager in Northern suburbs is seeking to employ a compliance officer for their Investments cluster.

The main purpose of the compliance officer is to provide Compliance and Risk management support and understand the impact of statutory/legal obligations and government legal requirements where required as part of the job function.

The successful candidate will also be required to perform complex and specialised tasks, while considering the implication of the decisions and consequences thereof. They will collect, compile and analyse complex data and information in order to exercise independent judgement and reasoning with the necessary ability.

Key responsibilities

Compliance and Risk Support

  • Assist the sales team with compliance queries
  • Review marketing documentation to ensure compliance
  • Assist the administration team with compliance escalations for client cases
  • Facilitate annual compliance training for the administration team
  • Assist the companys Operations and Investments teams with compliance queries
  • Checking monthly compliance reports for the companys funds
  • Maintain internal compliance documentation
  • Quarterly compliance reporting to risk forum
  • Annual CRS tax compliance reporting
  • Fund registrations

Risk Management Support

  • Assist the Group Risk with the business units risk queries
  • Annual and adhoc risk reporting
  • Quarterly risk register reporting
  • Managing the companys Group complaints register

Due Diligence

  • Draft due diligence reviews
  • Ensure that all due diligence documentation received is fully completed
  • Liaise with the companys sales team to resolve any discrepancies on due diligence documentation received
  • Liaise with internal business partners and the companys Exco on due diligence documents reviews
  • Maintain all the companys due diligence questionnaire templates
  • Completing due diligence questionnaires on behalf of the company
  • Ensure that the companys due diligence information is maintained and kept up to date

Legal Support

  • Liaison and completion of Distribution Agreements
  • Assisting with agreement queries
  • Facilitate legal agreement process with the Group internal legal counsel and intermediary firms
  • Ensuring that the correct information pertaining to the company is completed in legal agreements
  • Maintain all the companys legal agreement templates
  • Maintain the companys agreement matrix

General Administration Support

  • Ongoing liaison with outsourced business partners and clients
  • Responding to client enquiries and passing these to business partners when necessary
  • Ensuring resolution of enquiries
  • Project management of various internal projects and product developments
  • Specific and ad hoc support as required by the team
  • Document management and electronic filing
  • Internal and external training material


Minimum requirements

  • A relevant business degree or similar qualification
  • A minimum of 3 5 yearsexperience working in a compliance environment
  • A minimum of 5 yearsexperience in the Financial Services Industry, with preference given to compliance and operations experience
  • Experience in international compliance an advantage


Technical Competencies

  • Microsoft Office Excel, Word, Powerpoint
  • Other Compliance programme experience an advantage e.g. Siron