Investment Compliance Analyst (Cape Town)

Note: Preference would be given to suitably qualified Employment Equity candidates

One of SA’s top rated investment firms has a technically challenging vacancy within their Investment Compliance Team. The incumbent will be responsible for coding investment mandate and regulatory rules onto the compliance system (NX/Decalog), enhance existing rules and scripts, debugging, as well as update process documentation. The role requires close interaction with the investment compliance team and systems support team.

**Note that this is a “technical” compliance role for someone with an eye for detail and who likes to get involved with the “nuts & bolts” of the investment compliance process.

The successful incumbent will be responsible for:

• Review and assess draft mandates and advise the Compliance and Legal teams whether the mandate rule requirements can be coded on the Compliance system.
• 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.
• Assess system data requirements and the impact of data changes on the compliance rules and update the compliance rules as appropriate.
• 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.


• Relevant qualification ideally in Investments/Finance or Legal (BBusSci,/ B.Com./ LLB)
• Experience working in a compliance team of a SA investment firm.
• Preferably more than 3 years of coding/ programming experience.
• The ability to code compliance mandate rules onto a compliance system like the Decalog or similar (E.g. NX Manager, 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.
• Accuracy and superb attention to detail.
• Excellent team player.
• Enjoys working under pressure in a fast-paced environment.

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