An exciting opportunity has arisen for a seasoned professional to take on the role of Head of Compliance Operations. This is a senior position within a leading global alternative investment manager, with important responsibilities to maintain and improve upon the integrity and professionalism of their Compliance Operations.
As Head of Compliance Operations, you will be instrumental in establishing a new Compliance Operations team. Your role will involve taking ownership of key policies related to information management, conducting reviews, onboarding trading counterparts, developing new business strategies, supporting compliance teams, onboarding senior advisors, and providing training to employees.
Key Responsibilities:Play a key role in appropriate management and control of material non-public information (MNPI)Manage Expert Networks by maintaining a list of approved firms, reviewing call requests, and addressing any issuesMonitoring Code of Ethics and other conflicts of interest policiesIn due course, you will take over the regulatory reporting and anti-money laundering functions in Cape TownCreate and enforce information barriers, ethical guidelines, allocate funds and resources across platformsPerform relevant reviews of wall crossing requests and ensure that appropriate records are maintainedUndertake onboarding of trading counterparties and trading platformsEvaluating employee conflicts of interest in line with policies and proceduresIdentify and report non-compliance regarding policies on ethics, personal account trading, market conduct, and information barriersSupport regional and platform Compliance teams with CMP (Compliance Monitoring Programme) testingUpdating and managing Governance, Risk and Control system (GRC)Support other reporting including Quarterly flash reports, Monthly flash reports, MLRO reports, Risk Assessment Report, SMCR Report, etc.The ideal candidate for this Head of Compliance and Operations role will bring proven professional experience within financial institutions. You should have prior experience leading compliance monitoring or surveillance teams.
Minimum Requirements:Hold a South African or international accountancy, compliance, risk, and financial analysis professional qualification/certificate8-10 years' experience in a financial control room, compliance monitoring, surveillance monitoring team in a financial institutionExperience in an Investment Bank, Securities Bank, Brokerage, Wholesale Bank, or Alternative Asset ManagerPrior leadership roles in a similar Head of Operations or Head of Control RoomExperience in centralising and integrating various Compliance systemsStrong digital skills, particularly data skills to extract, consolidate, and analyse data from disparate systemsCollaborative and inclusive approach to working with colleaguesStrong attention to detailWhat sets this company apart: This is a chance to join a leading global alternative investment manager. They value the benefits of having a diverse team and are committed to providing flexible working arrangements. This is an opportunity not only to develop your career but also to contribute to the integrity and professionalism of their Compliance operations.
What's next: Please note for the Head of Compliance Operations, it is imperative to meet the abovementioned criteria.
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Job Details:Contract Type: FULL_TIME
Focus: Private Equity
Workplace Type: Hybrid
Location: Cape Town
Industry: Financial Services
Salary: Negotiable
Job Reference: 8QA33C-281CA2E4
Date posted: 04 October 2024
Consultant: Cindy Duplessis
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