Regulatory Compliance Specialist

Purpose of role:

To support the regulatory compliance function by ensuring all marketing and communication materials and disclosures for CIS’s are reviewed, submitted, and maintained in line with applicable legislation (primarily BN92), while enabling efficient stakeholder coordination and regulatory engagement. Secondary focus on regulatory compliance monitoring where required and capacity allows. 

Duties and responsibilities:

• Reviewing all relevant marketing material pertaining to Prescient’s collective investment funds, as well as all foreign funds registered under section 65 of CISCA on Prescient’s platform, to ensure compliance with Board Notice 92 (or equivalent regulation).
• Leveraging technical systems (including AI) to identify non-compliant disclosures, inconsistencies, or omissions and clearly communicate required changes 
• Build strong working relationships with internal and external stakeholders, particularly our clients (investment fund managers).
• Ensuring that all managers are aware and kept abreast of applicable legislative requirements as they apply to them and their funds.
• Coordinate and track submission timelines with internal teams and external managers, and ensure timely responses and submissions
• Monitoring Prescient’s and other manager’s websites to ensure compliance with relevant legislation and industry standards.
• Involvement with ad-hoc investment and regulatory compliance tasks and projects, as may be required.

Required experience:

• Experience working in financial services, or in a legal/compliance related role preferred.

Required Qualifications:

• Relevant tertiary qualification, for example: degree or diploma in finance/ commerce/ law (or studying towards a relevant tertiary qualification).

Key competencies:

• Strong work ethic, and ability to work under time pressure around submission deadline times.
• Strong aptitude for technology use and adoption
• 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.
• Accuracy and attention to detail are of the utmost importance.
• Self-starter who is self-driven and self-directed.
• Honesty and integrity.

Why this role:

This is a brilliant opportunity to apply your skills and experience in support of a dynamic, highly competent investment Compliance team and grow your understanding of the asset management environment. This opportunity promises excellent exposure, growth, challenge and reward.