Compliance Officer (Investment Management)

Our client is a well-established and reputable Asset Management Company based in the Southern Suburbs of Cape Town, they are now looking to employ a Compliance Officer who will report into the Head of Legal and Compliance. The role is responsible for the compliance activities across the division and to engage management to ensure that internal processes are aligned with regulatory requirements, advising on regulatory changes, and provide reliable, value-added, and independent feedback and advice to management on regulatory matters. The position also plays a key role to ensure the understanding and adherence to relevant regulations, laws, and industry guidelines is enhanced.

Responsibilities

• Compiling of compliance and statistical reports to the business, clients and regulators
• Ensure compliance implementation and maintenance of the compliance risk management and monitoring plan, including AML compliance monitoring
• Monitoring of the ...