• Oversee the compliance function for our international investment management arm, ensuring adherence to local EU, UK regulations as well as South African regulations and other international standards.
• Ensure the firm’s compliance with key regulations, including:
  • Mi FID II (Markets in Financial Instruments Directive II)
  • UCITS Directives (Undertakings for Collective Investment in Transferable Securities)
  • EMIR (European Market Infrastructure Regulation)
  • AIFMD (Alternative Investment Fund Managers Directive)
  • FATCA/CRS (Foreign Account Tax Compliance Act/Common Reporting Standard)
  • AML (Anti-Money Laundering) Regulations
  • Conduct (Market conduct) Regulations
  • Privacy Regulations

• Develop, maintain, and update compliance policies and procedures in line with local and international regulatory requirements.
• Manage investment compliance monitoring (pre and post trade compliance)
• Liaise with internal and external stakeholders to ensure all compliance-related issues are handled efficiently and with minimal disruption to business operations.
• Provide ongoing advice and guidance to senior management, portfolio managers, and other key stakeholders on regulatory changes and their implications.
• Monitor regulatory developments and ensure the business is prepared for upcoming changes in relevant jurisdictions.
• Engage with and manage relationships with external regulatory bodies and service providers, including external consultants and legal advisors.
• Ensure that the business meets all its reporting obligations to regulatory authorities in the jurisdictions of operation.
• Work closely with other departments, including legal, risk, and operations, to ensure a seamless approach to compliance across the organisation.
• Facilitate training and awareness sessions on compliance-related matters for staff.

• Have completed a Bachelor’s degree in law, Finance, Compliance or Risk or a related field.
• Have at least 8 years of experience in a compliance or legal role, with direct exposure to investment management.
• Strong knowledge of South African and International (EU,UK) regulatory frameworks.
• Proven experience working with international regulations, including EU and/or UK financial regulations.
• Specific experience with regulations in Luxembourg and/or Jersey is highly advantageous.
• Deep understanding of and experience with key regulations, including:
  • Mi FID II
  • EMIR
  • UCITS Directives
  • AIFMD
  • Other relevant regulations such as AML, FATCA, CRS.
• Ability to work independently and take initiative in a fast-paced, international environment.
• Excellent communication skills and the ability to collaborate effectively with both internal teams and external regulatory bodies.
• Proven ability to work with subject matter experts and other resources to resolve complex compliance matters.
• Strong analytical skills and the ability to translate complex regulatory requirements into clear, actionable compliance steps.

• Opportunities to network and collaborate
• Challenging work
• Opportunities to innovate

• Self-motivated and proactive, with the ability to work autonomously.
• Strong problem-solving skills and the ability to handle multiple competing priorities.
• Ability to manage and lead projects across multiple jurisdictions.
• Attention to detail and a commitment to maintaining the highest standards of regulatory compliance.

23/10/24