Analyst: Investment Risk & Compliance (Prescient Management Company)

Vacancies

Analyst: Investment Risk & Compliance (Prescient Management Company)

Reporting line Team Lead: Investment Risk & Compliance

Location

Westlake, Cape Town

Business Unit Prescient Manco

To support the Investment Risk & Compliance function, with primary accountability for the accurate and timely preparation, consolidation and submission of regulatory reporting, and for instrument classification and data integrity. Secondary focus on CISCA investment risk and mandate monitoring, and on supporting the governance and second line compliance activities of the Manco.

DUTIES & RESPONSIBILITIES

• Preparing, quality-checking and consolidating regulatory reporting submissions for Prescient Manco and other Prescient Fund Services clients, covering ASISA, Regulation 28 (including Schedule IB) and SARB returns (C23, B31, B16 and C48).
• Owning the reporting calendar — tracking deadlines, data cut-offs and dependencies, and escalating early where a deadline is at risk.
• Assisting with instrument classification reviews, including complex instruments, structured products and derivatives, under the guidance of the Team Leader and the Manco Compliance Officer.
• Applying the documented instrument classification methodology consistently across portfolios and reporting streams, and escalating novel or ambiguous instruments rather than applying an assumed treatment.
• Performing reconciliations and data integrity checks between service provider data, internal systems and reported figures, and investigating anomalies through to resolution.
• Communicating efficiently with service providers and internal teams to ensure all required data is loaded accurately and in time to consistently meet deadlines.
• Leveraging technical systems (including AI) to reduce manual effort, and supporting the development of more efficient and robust reporting processes.
• Drafting and maintaining procedure notes, submission logs and working papers, so that reporting processes are repeatable, well evidenced and not person-dependent.
• Monitoring changes to reporting and regulatory requirements (SARB, Regulation 28 and ASISA), and assisting the team in assessing and implementing the impact.
• Supporting the broader compliance team with CISCA compliance frameworks and monitoring plans, and with the data, analysis and evidence required for second line monitoring and regulatory reporting.
• Liaising with FSPs, trustees, regulators and service providers from a risk and data integrity perspective.
• Assisting with internal and external audits (CISCA, SARB, BN52 and ISAE 3402) by preparing requested information and evidence accurately and on time.
• Involvement with ad-hoc investment and regulatory compliance tasks and projects, as may be required.

REQUIRED EXPERIENCE

• Experience working in financial services, preferably within an asset management, collective investment scheme, fund administration or compliance environment.
• Exposure to regulatory reporting (Regulation 28, SARB or ASISA) and/or instrument classification would be a distinct advantage.
• A working knowledge of financial instruments, including derivatives and structured products, is preferred.

REQUIRED QUALIFICATIONS

• Relevant tertiary qualification, for example: degree or diploma in finance/ commerce/ investment management/economics/ law (or studying towards a relevant tertiary qualification).
• Progress towards a professional qualification such as the CFA or FRM would be advantageous.

KEY COMPETENCIES

• Accuracy and attention to detail are of the utmost importance.
• Strong analytical and numerical ability, with a natural instinct to interrogate data that does not look right.
• Strong work ethic, and ability to work under time pressure around reporting deadline times.
• Sound judgement, and the confidence to escalate and ask rather than assume.
• Strong aptitude for technology use and adoption, including proficiency in AI integration to increase productivity and reduce risk.
• Strong problem-solving ability and critical thinking.
• Ability to work well independently as well as in a team environment.
• Clear written and verbal communication.
• Self-starter who is self-driven and self-directed.
• Honesty and integrity.

WHY THIS ROLE?

This is an excellent opportunity to build deep technical expertise in regulatory reporting and instrument classification, in support of a dynamic, highly competent investment compliance team. The role offers direct exposure to the full range of CISCA regulatory requirements, to complex instruments and derivatives, and to the regulators, trustees and managers we engage with daily. This opportunity promises excellent exposure, growth, challenge and reward.

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