Compliance Manager – Regulatory Compliance

Compliance Manager – Regulatory Compliance | Pretoria

A leading asset management organisation is seeking a Compliance Manager – Regulatory Compliance to support the effective management of regulatory compliance risk and provide assurance to management, governance structures and regulators that the organisation operates in accordance with applicable legislation, regulations, policies, client mandates and industry best practice.

The successful candidate will play a key role in developing and implementing compliance frameworks, monitoring regulatory requirements, conducting compliance reviews and providing guidance across the investment environment.

• Support the development and implementation of the regulatory compliance strategy and framework.

• Monitor compliance with applicable legislation, regulatory requirements, internal policies and client mandates.

• Develop compliance monitoring plans and review compliance risk management plans.

• Conduct compliance reviews, audits and assessments, and prepare reports for governance committees and regulators.

• Manage pre- and post-trade compliance monitoring activities across listed equity investments and collective investment schemes.

• Compile and facilitate regulatory submissions, statutory returns and compliance reporting.

• Provide guidance on JSE and financial markets regulatory requirements.

• Identify regulatory compliance risks and provide recommendations to mitigate potential exposures.

• Support the development, maintenance and implementation of compliance policies and procedures.

• Provide compliance training and guidance to internal stakeholders.

• Lead, mentor and manage regulatory compliance team members to ensure effective delivery and continuity.

• Honours degree in Law, Commerce or a related qualification.

• 8–10 years’ relevant compliance experience within the financial services sector, with at least 5 years’ experience within asset management.

• Minimum 2 years’ experience in team leadership and/or people management.

• FSCA approval as a Compliance Officer preferred.

• Strong knowledge of regulatory frameworks applicable to investment management, including:

  • Financial Advisory and Intermediary Services (FAIS) Act

  • Financial Intelligence Centre Act (FICA)

  • Collective Investment Schemes Control Act (CISCA)

  • Pension Funds Act (Regulation 28)

  • Financial Markets Act

  • JSE Rules and Listing Requirements

  • Financial Sector Regulation Act

  • PFMA and corporate governance frameworks

• FSCA Regulatory Exams (RE1, RE3 and RE5) or willingness to obtain within 6 months.

• Master’s degree in Commerce/Law or related field.

• JSE Compliance Officer approvals (Bonds, Equities and/or Derivatives).

• Registered Persons Exams (RPE) certifications.

• Professional membership with bodies such as CISA or ICA.

• Experience within an asset manager, investment management firm, pension fund, financial institution or capital markets environment.

Candidates should have strong exposure to investment management compliance, particularly within asset management, institutional investments, pension funds, capital markets, collective investment schemes or financial services organisations. Experience supporting listed investments, trading environments, regulatory reporting, JSE requirements and investment governance structures will be highly advantageous.Identify regulatory compliance risks and provide recommendations to mitigate potential exposures.