Compliance Officer
Discovery Limited · Johannesburg, Gauteng
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Start free — we apply for you →Key Purpose
- The Operational Compliance Officer is a critical role that has the responsibility of ensuring that, contracts, fund management are managed swiftly and efficiently, in terms of communicating to internal and external providers and the various system/ business teams
- Since the Junior Operational Compliance has such a wide range of functions, the role will overlap with various functions / initiatives / responsibilities.
Responsibilities
- Assist, drive and ensure quick turnaround on all new contracts and agreements
- Facilitate the updates to forms, contracts e.g. in the case of fund/fund class changes
- Assist with Corporate Actions Impact Analysis Local and offshore
- Assist with External fund setup and amendments
- Assist with compiling due diligence documents for Internal and external companies
- List, obtain and file copies of all compliance reports for Discovery Life and Invest record keeping
- Assist with Product development practical implementation and communication
- Ballots, fund class changes
- Maintaining the Fund database and LEI registers
- Client communication
- Assist with compliance oversight and reporting functions
- Assist with Overseeing/Monitoring the external service providers
- Technical advice
- Assist with DFM brokers onboarding and rebalances
- Assist with new account opening, local and offshore
- Assist Adhoc business requests
- Assist with reports to regulators or external providers
- Assist with Compliance queries
- Regulatory Knowledge Base build up & maintenance
- Assist with Regular reporting to stakeholders Management, Business owners
- Opportunity to get involved with business during the launch/setup phases of any new initiatives as well as operational exposure to the business
- Opportunity to gain exposure to all the other finance functions including multi-management, product supply asset-liability matching, reporting and tax.
Education and Experience
Education
- BSC/BCOM/LLB/ or any related qualification
Experience
- 2 years in similar role/ level
- Strong communication skills Written and verbal
- Strong analysis skills
- MS Excel
- MS: Word
- 2 – 3 years of experience in an investment environment
- Exposure to legal environment – Advantageous
- Exposure to a Fund Administration/– Advantageous
Required Competencies
- Drives Results
- Values Driven
- Optimistic
- Learns on the Fly
- Resilient
- Instils Trust
- People Savvy
- Problem Solver
- Attention to detail
Preferred skills
- Financial/Legal Acumen
- Investment Acumen
- Excellent verbal and written communication skills
- Highly motivated self-starter who takes initiative
- Analysis and Problem assessment skills
- Ability to operate in a pressurised environment
- Ability to function in a team, be self-motivated and disciplined
- Ability to identify and implement processes
- Ability to communicate effectively both verbally and in writing
- Ability to manage deadlines and plan, accordingly