Assistant Compliance Officer

Fund Rock is a Pan-European leading independent UCITS management company and AIFM (Alternative Investment Fund Manager). Our clients are established blue‑chip companies and leaders in their domestic market. We invest in our people, enabling you to develop your skills and build on your experience. If you like the idea of working for an ambitious and growing company, as part of a multicultural team, we are the place for you.

The role will consist of supporting all the legal and regulatory compliance activities of the Fund Rock Manco. The Compliance Administrator will work alongside and support the local Compliance team and appointed Compliance Manager to assist staff members in discharging their responsibility to comply with applicable legislative and regulatory requirements through the provision of compliance services and to identify, assess, manage, monitor and report regulatory compliance risks facing the organization.

• Supporting the effective implementation of the Compliance Monitoring programme and undertake all aspects of monitoring activities as assigned by manager.
• Tracking non‑compliant findings with respective business unit managers and portfolio managers until resolved.
• Liaising with Trustees and administrators regarding reported breaches.
• Monitor compliance with applicable regulations which includes but is not limited to CISCA, FAIS, FICA, POPIA, Reg 28 and the efficiency and consistency of compliance controls and assist with the enhancement of procedures and controls.
• Backup for regulatory reporting and submission to the relevant regulators in terms of CISCA, SARB, Reg 28, ASISA, FIC.
• Maintaining a register of exposure limit breaches and actively manage adherence to the related process and mitigation of breaches.

• Acting as the Deputy MLRO, support the establishment and maintenance of the group’s Anti Money Laundering policies, procedures, systems and controls in compliance with the Anti Money Laundering rules and all relevant legislation applicable.
• Monitoring screening, suspicious transactions and provide reporting and escalations as required.
• Completing enhanced customer due diligence reports for senior management approval.
• Undertaking projects such as those addressing new regulatory initiatives and the review of existing policies.
• Monitoring that a register of processing operations is maintained by the relevant entities.
• Monitoring data protection compliance within the entities and help the entities to be accountable in this respect.
• Monitoring that all affected entities have made the necessary data protection notifications, and comply with applicable legislation, group policies and procedures in connection with data protection obligations.
• Supporting the Information Officer and Deputies to cooperate with the local regulators (responding to their requests about investigations, complaint handling, inspections conducted by the local regulators, etc.).
• Ad‑hoc compliance duties as assigned by the line manager.

• Strong working knowledge of the South African financial services regulatory framework.
• Discreet and confidential manner.
• Confidence and persuasiveness, with the ability to motivate colleagues and support the embedding of a positive compliance and risk management culture.
• Be well organised, with the ability to work autonomously and deal with a busy workload.
• Be prepared to get heavily involved in supporting the regulatory compliance function, investigating complex structures and considering appropriate KYC requirements and risk categorizations.
• Self‑motivated, mature and able to use initiative.
• Degree level qualification, or equivalent, ideally in Law or Compliance and Risk Management.
• Relevant work experience in the Financial Services Industry, preferably within a Collective Investment Scheme.

• You will receive training on a day‑to‑day basis by coaching and mentoring.
• Personal development plan will be agreed on an annual basis.
• Self‑learning.
• Attendance to internal training including webinars, workshops and work groups as may be required.
• Attendanc…