PURPOSE OF THE JOB

·         The successful person:

o       Will be responsible for the portfolio compliance management processes and infrastructure as a key enabler to achieve the business’ strategic objectives.

o       Will advise Senior Managements on appropriate portfolio compliance management strategies and will be accountable for the implementation of the portfolio compliance management frameworks for STANLIB and the monitoring thereof.

KEY PERFORMANCE AREAS

COMPLIANCE MANAGEMENT: STRATEGIC KPAs

·          Develop and maintain an appropriate Portfolio Compliance Management Frameworks.

·          Develop and review policies, procedures and processes continuously to ensure that they comply with the Portfolio Compliance Management Frameworks.

·          Develop and implement an effective portfolio compliance management reporting system.

·          Continuously track and report on financial related performance metrics against regulatory and performance or compliance requirements and make relevant recommendations.

·          Ensure that STANLIB’s strategic plans provide due consideration to the relevant factors based on the portfolio compliance management framework.

 

PORTFOLIO COMPLIANCE MANAGEMENT: OPERATIONAL KPAs

·          Pre-trade violation investigation & investment restriction overrides

·          Post-trade violation investigation & resolution

·          Account coding and coding reviews

·          New account on-boarding activities

·          Manual test execution

·          Identification of coding issues

·          Regulatory Thresholds disclosure reporting support

·          Pre and post trade monitoring and approval of new issues

·          Documentation of procedures

·          Process / system enhancements

·          Client certifications / attestations

·          Projects as required

 

 

EDUCATION, EXPERIENCE AND SKILLS

·         An honours degree, preferably in Commerce, Law or related subjects.

·         A minimum 4 years’ experience in financial services, particularly in investment / asset management.

·         A sound understanding of portfolio compliance management principles and philosophies.

·         Knowledge of the Financial Services Industry and regulatory frameworks.

·         Prior experience of designing and implementing portfolio compliance management policies, procedures and processes.

·         Capacity for sound judgment and the ability to think strategically.

·         Strong prowess of articulation and presentation required both in the preparation of policies / strategies & presentation of the same to Senior Management.

·         Able to work with all levels of management and across all the departments.

·         Has a strong presence and can interact effectively with the senior management.

·         Ability to analyse and interpret large volumes of data.

·         Demonstrating enthusiasm for complex compliance analysis and creative problem solving.

·         An ability to understand and interpret financial information and principles.

·         Well-developed time management and organization skills including the ability to manage competing priorities in a high pressure environment.

·         Excellent leadership skills and experience, with an ability to inspire loyalty and enthusiasm.

Please email your cv directly to thadusha.pillay@stanlib.com. Please quote the job title in the subject line.