• Investment Compliance Officer
  • Tracking Talent • Cape Town Southern Suburbs
  • Market Related
  • Permanent position in the Finance sector
  • Posted by Tracking Talent on Thursday, March 15, 2018 Reference CPT000345/ZL
  • Apply before: Thursday, January 31, 2019 - 16 Days left


Duties and Responsibilities:

  • Responsibility for compliance with the requirements of FAIS, FICA, LTIA and CISCA. Responsibility includes monitoring compliance, documenting findings and reporting findings to upper management.
  • Key responsible for all Investment Compliance Monitoring which will require knowledge of
  • Collective Investment Schemes Act: Board Notice 90 of 2014, Board Notice 92 of 2014, Board Notice 257 of 2013 (foreign collective investment due diligence), Board Notice 52 of 2015 Hedge Funds), Risk Management Programs for unlisted securities and exchanges not part of the World Federation of Exchanges.
  • Pension Fund Act: Regulation 28 (monitoring, issuing certificates & Schedule IBs)
  • Medical Aid Schemes Act: Regulation 30 (monitoring and issuing certificates)
  • Long Term Insurance Act: Regulation 2.2
  • UCITS preferred
  • Segregated Mandate Compliance
  • ASISA Standards & Guidelines
  • Offshore fund exposure also preferred eg Namibia Regulation 28, Namibia Unit Trust Control Act 
    Regulation 28 analysis and reporting
  • Review Fact Sheets and submit to the FSB
  • Assisting with ASISA & FSB quarterly reporting
  • Investigating breaches from the Trustees
  • Mandate changes and submission to ASISA Quarterly FSB reporting
  • Maintenance and management of monitoring and risk management plans for FAIS, FICA, LTIA and CISCA, as well as ensuring adequate training on legislative requirements is provided to staff members
  • Responsibility for liaison with Regulators
  • Compliance Static Data Management
  • Pre-and post-trade breach analysis on Decalog. Breach resolution via liaison with portfolio managers
  • Takes responsibility for own training and education on Legislation.




  • A minimum of 4 years’ experience in the Investment Compliance gained from an Asset Management/related environment and strong interest in continuing a career in Investment Compliance
  • Sound understanding and exposure to the various applicable legislations including, but not limited to, CISCA, Reg 28, Long Term Insurance Act, UCITS Medical Aid Schemes Act

Companies may expire jobs at their own discretion.
If you have not received a response within two weeks, your application was most likely unsuccessful.

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