Regulatory Compliance Consultant

In brief

**Overview** This position is for a Regulatory Compliance Consultant within Sygnia Asset Management's Upfront Compliance Entity team. The role focuses on Entity Upfront Compliance for the Linked Investment Service Provider (LISP) and its related retail products, as well as other Sygnia Business Units. This work is to be carried out in line with the Financial Intelligence Act regulations, related legislation, and internal Sygnia policies. **What you will do** * Work within a LISP and institutional/corporate environment. * Perform upfront compliance for all instructions, including FICA and FATCA verification for all new investments. * Daily monitoring of Politically Exposed Persons (PEPs) and Adverse Media clients to ensure all requirements are met before establishing new client relationships. * Collaborate closely with Client Relationship Managers to obtain outstanding documentation required for client onboarding. * Maintain detailed notes on all assigned cases and perform regular follow-ups for outstanding requirements. * Foster collaboration between the administration team and the Client Service Team. * Maintain good internal department relationships to ensure maximum support and collaboration. * Identify gaps in processes and report them to the Head of Retail and Retail Manager. * Understand and adhere to appropriate policies, standards, and procedures applicable to the role. * Understand and manage risks and risk events relevant to the role, immediately reporting any findings to the Retail Manager for discussion and resolution regarding FICA and FATCA. * Facilitate the maintenance of all timing standards and report anomalies to the Admin Team Leaders for investigation. * Assist peers where needed to maintain a healthy team spirit. * Adhere to all Sygnia policies. * Report any possible concerns about conduct or unfair treatment of customers to Compliance. * Report any suspicion that a client, investor, or employee may be involved in money laundering, fraud, or any other crime to Risk and Compliance. * Be alert to possible risk and compliance issues within the general business. * Report any possible and actual breaches, errors, or complaints to Risk and Compliance. * Ensure best practice is followed to maintain confidentiality and security of all company data, client data, and property. * Ensure regulatory, client, and other corporate records are maintained. * Ensure timely completion of all risk and compliance training. **Requirements (from the original advert)** * BComLaw, LLB, or equivalent undergraduate degree/diploma in compliance. * Strong working knowledge of word processing and spreadsheets (MS Word, Excel). * Must have a good knowledge of all products in both discretionary and contractual pension products. * Attention to detail, with a sense of urgency, is a strong requirement. **Who should apply** The ideal candidate is someone with strong organisational skills and a passion for completing tasks quickly and correctly. They should possess strong attention to detail to ensure work is done right the first time and have the ability to work well and accurately under pressure. The candidate must be able to work effectively both within a team and individually. They should be a self-starter, proactive in taking ownership of their own learning and career development, discreet, professional, and well-spoken. The ability to manage multiple projects while prioritizing work assignments is also important. **Deadline** 21st October, 2026 **Reference** Original posting: https://www.myjobmag.co.za/job/regulatory-compliance-consultant-sygnia-asset-management Source: myjobmag

Summary drafted with AI assistance from the original advert. The advert itself is the authority — how we use AI.

At a glance

• At least 3 years of experience.

• Microsoft Excel

Extracted automatically from the advert; confirm requirements on the original listing.

Job description

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