Investment Compliance Analyst (Cape Town)

One of SA’s top rated investment firms has an exciting vacancy within their Risk & Compliance Team for a Compliance Analyst to work closely with the Dealing team to ensure that all trading activities comply with regulatory requirements, industry guidelines and investment mandates.

**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 process.

The successful incumbent will be responsible for:

• Analysing, assessing, monitoring and reporting of all trading-related activities to ensure compliance with regulatory requirements, industry guidelines and investment mandates.
• Daily system / technical responsibilities:
Daily Instrument Maintenance
Rule Loading and Maintenance
General Maintenance of Compliance systems
Daily Breach Monitoring
Breach Reporting
Regulatory Reporting
General Compliance queries


• Relevant degree in Investments/Finance or Legal (BBusSci,/ B.Com./ LLB)
• Ideal candidate will have 3 to 5 years’ solid experience in Trading-related compliance monitoring including breach management and be comfortable on investment systems such as STATPRO, HiPort or Bloomberg.
• Sound knowledge of investment instruments and products.
• Accuracy and superb attention to detail.
• Excellent team player.
• Enjoys working under pressure in a fast-paced environment.

Apply Now

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