Risk & Compliance Officer

1 month ago

Cape Town, South Africa CA Financial Appointments Full time

Exceptional opportunity for a Compliance Officer with relevant financial services experience to join a stockbroking team. Role is responsible for all compliance legislation for their team including JSE. Ideal candidates will have completed their RPE and JSE exams, or be willing to complete these. Role reports to the Chief Operating Officer.

Responsibilities:

  • Monitor Trading activity in real time across all asset classes, ensure compliance, identify irregularities, manage risk
  • Monitor daily trading Limits and Monthly submission to JSE
  • Manage onboarding and offboarding, Trading and backoffice systems, ensure compliance
  • Identify misdeals, outstanding allocations, faulty payments, incorrect journals made, report on any exceptions identified
  • Conduct compliance and AML reviews and monitoring on stockbroking division
  • Prepare compliance reports
  • Manage compliance and AML reviews, ensure business units adhere to regulatory requirements and the Companies policies and procedures
  • Report on business risks and compliance Matters to the Board and Exco
  • Flag non-compliance issues, manage all incident reporting to the Board and Exco
  • Liaise with Exchanges and relevant Regulatory Bodies
  • Liaise with Group Legal, Risk and Compliance, ensure effective and up to date compliance programme is maintained
  • Keep relevant policies updated and communicate to staff
  • Respond to queries on all regulatory compliance matters
  • Investigate, track resolution and report compliance breaches
  • Ensure reporting obligations, both internal and regulatory reporting requirements are done
  • Liaise with key internal Group and the broader Group governance stakeholders
  • Review client and supplier accounts, ensure compliance with FICA
  • Develop and document business processes
  • Liaise with regulators
  • Participate in BCP Testing as required
  • Ensure all FAIS reporting is submitted timeously

Requirements:

  • Minimum of a completed BCom, BCompt, BSc, LLb, FRM or equivalent qualification
  • Minimum of 7 years' experience in a similar role in financial services, with a preference for previous stockbroking compliance experience
  • Knowledge of relevant legislation i.e., FICA, POCA etc.
  • Strong knowledge of financial instruments, Fixed Income and Derivatives, FAIS Monitoring and ideally stockbroking operations as well
  • Knowledge of local and international settlements and operations
  • Strong MS Office and Excel skills

Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.

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