Trading Regulatory Risk Specialist

2 weeks ago

Johannesburg, Gauteng, South Africa FirstRand Full time
Job Description


To ensure that internal and external reporting pertaining to market, counterparty credit and other risk types is done in accordance with industry and prudential standards, considering business policies and risk frameworks.


To interpret regulations, engage with internal and industry stakeholders (BASA), translate regulatory requirements into context, and ensure that the implementation of trading regulatory principles are applied to mitigate regulatory risk and ensure that all reportable metrics are monitored and within acceptable risk tolerance levels.


  • Assist, provide guidance and manage the implementation of regulatory and governance requirements internally and externally with business partners.
  • Develop corrective action for resolution of existing regulatory and governance issues and provide general guidance to stakeholders.
  • Assist management and business partners to develop systems and processes in response to regulatory and governance requirements and changes.
  • Advise and support business in terms of applicability of regulations and in so doing, mitigate risk.
  • Advise business of changes in regulation and identify potential impact of these changes on the business and on platforms.
  • Influence the enhancement of business processes (including IT or system) and methodologies specific to the area.
  • Create and strengthen awareness of business compliance status in relation to evolving business needs and the regulatory landscape.
  • Work closely with risk management and enablement teams in developing a strong regulatory and governance framework within the relevant business area/environment.
  • Proactively maintain and build relationships with internal and external stakeholders including regulators, clients, and industry bodies.
  • Report to all stakeholders on regulatory and governance adherence and sustainability.
  • Creating awareness of regulatory and governance requirements and fostering a culture of regulatory adherence and good governance within in the business area/ environment which is aligned with Compliance and the Risk Management Function.
  • Participate in audits conducted by regulatory agencies and external auditors for both internal and external reporting.
  • Drive industry exercises required by the regulator on matters pertaining to market risk, counterparty credit risk and any other or developing risk types.
  • Stay informed about industry developments and emerging accounting standards that may impact the bank's operations.
  • Researching and interpreting regulations, developing policies and procedures, and monitoring compliance activities.
  • Limits management including following up on the necessary governance approvals and ensure limits are not exceeded.
  • Collaborate with enablement specialists within the team to drive and implement regulatory and governance changes across platforms and the value chain.

Minimum Requirements:

  • Post grad qualification in Quantitative Analytics or similar, Compliance Manager, and / or Law
  • Preferred Qualification: BCom Accounting, Finance, Economics, ERM
  • FRM is advantageous years' experience in a Regulatory function
  • Banking and / or Financial Services
Job Details

Application Closing Date

12/04/24

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