Senior Specialist, Compliance

To execute Investment Compliance Risk Management processes and activities within a specific Client Segment or Functional area, to ensure that the area is undertaken in a compliant manner to avoid operational losses, fines, penalties or reputational damage to the organisation and enable the competitive advantage of the organisation.

Standard Bank Group is a leading Africa-focused financial services group, and an innovative player on the global stage, that offers a variety of career-enhancing opportunities – plus the chance to work alongside some of the sector’s most talented, motivated professionals. Our clients range from individuals, to businesses of all sizes, high net worth families and large multinational corporates and institutions. We’re passionate about creating growth in Africa. Bringing true, meaningful value to our clients and the communities we serve and creating a real sense of purpose for you.

Type of Qualification: Degree in Finance, Investment management, Accounting/Auditing, Financial Risk Management or equivalent
Field of Study: Business Commerce

Experience Required

• Experience in pre and post trade investment compliance.
• Coding of rules on investment compliance systems.
• Engaging portfolio managers and regulatory authorities.
• Reporting to clients and various governance structures.
• Knowledge of CISCA, Regulation 28 and JSE rules. Accreditation as JSE Compliance officer will be advantageous.
   

Business Enablement
Compliance
5-7 years
The role requires an Investment Compliance professional with a sound knowledge of the mandate and relevant regulatory compliance requirements applicable to the asset management area as well as a solid understanding of financial instruments and trade activities.

Behavioural Competencies:

• Adopting Practical Approaches
• Articulating Information
• Checking Things
• Convincing People
• Developing Expertise
• Documenting Facts
• Embracing Change
• Exploring Possibilities
• Interpreting Data
• Making Decisions
• Providing Insights
• Upholding Standards

Technical Competencies:

• Evaluation of Internal Controls
• Financial Acumen
• Financial Industry Regulatory Framework
• Legal Compliance
• Process Governance
• Risk Awareness