Xolelwa Nyalungu

Perform all operational requirements expected of a Investment and Regulatory Compliance Specialist, within the ComplianceTeam Key Responsibilities Core Accountabilities Perform the Portfolio Compliance related tasks, including, but not limited to: Address queries arising from breaches and reports accurately, efficiently and in a customer oriented manner Analyse the breach results and report all new breaches daily Assess and clean data received on a daily basis Create and maintain instrument and portfolio classifications Create and update regulatory and mandate specific investment limitation rules accurately o Ensure that all additional data is received from various external asset manager o Ensure that all instruments are correctly classified o Ensure that all required data is received from Maitland on a daily basis o Ensure that classifications are amended as-and-when required o Ensure that Portfolio Structure (Investment Products , Building Blocks , Managed Fuld level) are created and maintained for accurate investment mandate limits and regulatory limit compliance monitoring o Follow-up on all outstanding breaches with External Asset Managers and Internal Portfolio Managers and escalate to Risk officer where necessary. o Compile monthly and Quarterly Compliance breach analysis reports for submission to Investment Credit Committee and Risk Committee. o Keep abreast of regulatory universe changes to ensure that the applicable Compliance rules are are maintained o Conduct due diligence review on Foreign Collective Investment scheme to satisfaction of the Trustees, to ascertain whether the portfolio would qualify for approval in terms of Section 65(1)(c) of the Act. o Maintain accuracy of static data ( Portfolio , Instrument and Issuer ) in the data warehouse