Investment Compliance Officer - Tracking Talent, Cape Town Southern Suburbs

  • Cape Town Southern Suburbs
  • Salary: Market Related
  • Job Type: Permanent
  • Sectors: Finance
  • Posted by Tracking Talent on Thursday, March 15, 2018
  • Reference: CPT000345/ZL
  • Apply before Thursday, January 31, 2019 - 10 Days left
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Vacancy Details

Employer: Tracking Talent


Duties and Responsibilities:

  • Responsibility for compliance with the requirements of FAIS, FICA, LTIA and CISCA. Responsibility includes monitoring compliance, documenting findings and reporting findings to upper management.

  • Key responsible for all Investment Compliance Monitoring which will require knowledge of

  • Collective Investment Schemes Act: Board Notice 90 of 2014, Board Notice 92 of 2014, Board Notice 257 of 2013 (foreign collective investment due diligence), Board Notice 52 of 2015 Hedge Funds), Risk Management Programs for unlisted securities and exchanges not part of the World Federation of Exchanges.

  • Pension Fund Act: Regulation 28 (monitoring, issuing certificates & Schedule IBs)

  • Medical Aid Schemes Act: Regulation 30 (monitoring and issuing certificates)

  • Long Term Insurance Act: Regulation 2.2

  • UCITS preferred

  • Segregated Mandate Compliance

  • ASISA Standards & Guidelines

  • Offshore fund exposure also preferred eg Namibia Regulation 28, Namibia Unit Trust Control Act 
    Regulation 28 analysis and reporting

  • Review Fact Sheets and submit to the FSB

  • Assisting with ASISA & FSB quarterly reporting

  • Investigating breaches from the Trustees

  • Mandate changes and submission to ASISA Quarterly FSB reporting

  • Maintenance and management of monitoring and risk management plans for FAIS, FICA, LTIA and CISCA, as well as ensuring adequate training on legislative requirements is provided to staff members

  • Responsibility for liaison with Regulators

  • Compliance Static Data Management

  • Pre-and post-trade breach analysis on Decalog. Breach resolution via liaison with portfolio managers

  • Takes responsibility for own training and education on Legislation.




  • A minimum of 4 years’ experience in the Investment Compliance gained from an Asset Management/related environment and strong interest in continuing a career in Investment Compliance

  • Sound understanding and exposure to the various applicable legislations including, but not limited to, CISCA, Reg 28, Long Term Insurance Act, UCITS Medical Aid Schemes Act

Apply before Thursday, January 31, 2019 - 10 Days left Companies may expire jobs at their own discretion. If you have not received a response within two weeks, your application was most likely unsuccessful.
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About Tracking Talent

Tracking Talent is all about finding, attracting, engaging and retaining of talent in the market place for our clients across multiple sectors.

Successful business leaders know that people are imperative to any organisation's success. They know that the right people, not just with the right skills, but aligned with their organisation's culture, can make the difference between good performance and great performance. Companies around the world compete furiously on a daily basis to attract, engage and retain high performing talent.

Tracking Talent work as partners to our clients to build suitable solutions for their talent acquisition, and retention, needs, and demands. We are a proudly 100% female owned business (51% Black female owned) with a BEE Level 2 certificate.

Our Values
Tracking Talent aim to help people and companies to fulfil their potential. We express passion and believe we have a unique approach to talent acquisition and retention. We operate with integrity, we find solutions and we work as a partner to our clients.

Integrity: At Tracking Talent we are proud to operate with honesty and integrity. We speak openly and honestly and we will walk away if we feel our integrity is compromised.

Solutions driven: We strive to find you a solution to your talent acquisition challenges, and do not sell a one size fits all solution.

Business Partners: Tracking Talent want to be an extension of your brand in the market place. We work with brands we believe in and can align ourselves with. As business partners we want to learn all about your business to enable you to continue operating at full potential.