Portfolio Compliance Analyst

SUMMARY:
Experienced in Investment Coding (Long Term Insurance)

POSITION INFO:

My client in the Southern Suburbs, Cape Town is seeking an experienced Investment Portfolio Compliance Analyst.

Role overview:

The incumbent will work within a dynamic investment compliance team and be responsible for coding investment mandate and regulatory rules onto the compliance system (NX/Decalog). In addition, the incumbent will enhance existing rules and scripts, debug system and rule issues as well as update process documentation as required. The role requires interaction with the investment compliance team around the requirements for rule coding, engagement with the system support team in respect to any system issues or enhancements required and assisting the investment compliance team with rule or system queries.

Key Result Areas:

• Review draft mandates to assess whether the mandate rule requirements can be coded on the Compliance system and to provide this feedback to the Compliance and Legal teams.
• Implement and maintain portfolio compliance rules in an automated compliance monitoring system (Decalog), to enable daily pre- and post-trade monitoring of compliance to mandate guidelines and restrictions, as well as portfolio related regulations.
• As part of the implementation and maintenance of the compliance rules, assess system data requirements and the impact of data changes on the compliance rules and update the compliance rules as appropriate.  Also ensure that data dependencies are documented and communicated to the relevant business areas.
• Manage the deliverables of the compliance monitoring and coding team. 
• Perform a regular review of the on-going appropriateness of procedures to ensure the effective and efficient performance of the mandate coding function. 
• Participate in projects that affect the portfolio compliance system and the compliance rules as applicable

Requirements/Skills/Qualifications:

• Experience in working in the compliance environment of a South African asset manager.
• Preferably more than 3 years of coding/ programming experience. 
• The ability to code compliance mandate rules onto a compliance system like the Decalog compliance system or similar compliance system (E.g. STATPRO, Charles River, Bloomberg’s etc). This entails understanding rule syntax’s.
• Working knowledge of Regulation 28 and Notice 90, Long Term Insurance Act, Medical Aid Schemes Act and general investment restrictions would be an advantage.

Salary: R40k - R45k CTC

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