Apex Group Ltd · 17 hours ago
Assistant Compliance Officer
Bellville
Full-time
Onsite
New Grad, Entry LevelApex Group Ltd is a leading independent UCITS management company and AIFM, seeking an Assistant Compliance Officer to support legal and regulatory compliance activities. The role involves assisting the Compliance team in managing compliance risks and ensuring adherence to applicable regulations.
Financial Services
Responsibilities
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 projects 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
Qualification
Required
Strong working knowledge of the South African financial service's 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 organized, 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
Well organized with the ability to work autonomously and deal with busy workload
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
Benefits
Education support
Sponsorship
In-house training programs
Company
Apex Group Ltd
We are a single-source financial solutions provider dedicated to driving positive change while supporting the growth and ambitions of asset managers, allocators, financial institutions, and family offices around the world.
Founded in 2003
10001+ employees
H1B Sponsorship
Apex Group Ltd has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (26)
2024 (16)
2023 (15)
2022 (21)
2021 (26)
2020 (36)
Funding
Current Stage
Late StageLeadership Team
Alexandra Pivovarova
SVP, Director of Business Development - Partners & Alliances
Georges Archibald
Chief Innovation Officer & Regional Head of North America
Recent News
2024-04-10
globallegalchronicle.com
2024-02-06
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