JSE Risk and Compliance Officer

2 weeks ago

Cape Town, Western Cape, South Africa The Recruitment Council Full time

Reporting to the COO, the JSE Risk and Compliance Officer is responsible for ensuring that the company complies with relevant legislation, including JSE and A2X Exchange Rules and Directives. The role also involves supporting the Board in maintaining adherence to internal policies and procedures, overseeing regulatory compliance, and managing risks across trading activities.

Key Responsibilities:

  • Real-time monitoring of trading activities across asset classes to ensure compliance, detect irregularities, and manage risks.
  • Monitor daily CAPAD trading limits and handle monthly submissions to the JSE.
  • Oversee onboarding and offboarding of access to trading and back-office systems to ensure compliance.
  • Conduct daily reviews to identify misdeals, outstanding allocations, faulty payments, and incorrect journals, reporting any exceptions.
  • Perform compliance and AML reviews in the stockbroking division, adhering to compliance programs and timelines.
  • Analyse the root causes of potential breaches and recommend preventative measures.
  • Report on business risks and compliance matters to the Board and Executive Committee.
  • Escalate issues of non-compliance and manage incident reporting to senior management.
  • Communicate relevant JSE market notices and directives to staff.
  • Foster relationships with exchanges and regulatory bodies.
  • Collaborate closely with Group Legal, Risk, and Compliance teams to maintain an updated and effective compliance program.
  • Promote a culture of compliance within the business through strong relationships with internal stakeholders.
  • Ensure policies are regularly updated and properly communicated to staff.
  • Review client and supplier accounts for FICA compliance.
  • Develop, document, and improve business processes.
  • Liaise with regulators and coordinate regulatory engagements, including site visits.
  • Participate in BCP (Business Continuity Planning) testing and stay informed about legislative changes.
  • Provide regulatory guidance to the business, responding to compliance-related queries.
  • Investigate, track, and report compliance breaches while coordinating internal and regulatory reporting obligations.

Experience:
  • Approximately 7 years of experience in a similar role within financial services, with exposure to the full compliance function in a stockbroking firm.
  • Strong understanding of financial instruments such as fixed income and derivatives, as well as knowledge of FAIS monitoring.
  • Familiarity with stockbroking operations, both local and international settlements, and the relevant legislation (e.g., FICA, POCA).
  • Proficiency in MS Office, particularly Excel, is essential.

Qualifications:
  • BCom, B.Compt, BSc, LLB, FRM, or an equivalent qualification is required.
  • Completion of JSE Equities and Derivatives Compliance Officer exams and SAIFM RPE exams in relevant areas.

Key Competencies:
  • Analytical skills, with the ability to gather, research, and process data effectively.
  • Strong problem-solving skills and the ability to provide timely, practical solutions.
  • Excellent interpersonal and communication skills, both written and verbal.
  • Team-oriented with a positive attitude, balancing individual responsibilities with team success.
  • Ability to work under pressure and meet deadlines.
  • Quality-driven with a focus on continuous improvement and attention to detail.

  • JSE Risk and Compliance Officer

    2 weeks ago

    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    Job Title: JSE Risk and Compliance OfficerLocation: Westlake, Cape TownReporting Line: Chief Operating OfficerJob Summary:The JSE Risk and Compliance Officer plays a critical role in ensuring that the organization adheres to all applicable legislation, including the JSE and A2X Exchange Rules and Directives. Reporting to the Chief Operating Officer, this...

  • JSE Risk and Compliance Officer

    2 weeks ago

    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    Purpose of the roleReporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSEand A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies andprocedures. The following requirements are essential for the role: JSE Exams: Successful completion of the JSE Equities...

  • Compliance and Risk Officer

    2 days ago

    Cape Town, Western Cape, South Africa iLaunch (Pty) Ltd Full time

    iLaunch (Pty) Ltd is a leading insurance company that requires a Compliance and Risk Officer to assist with third-party risk management activities. As a key member of our team, you will be responsible for monitoring and reporting on third-party risks, compliance, and risk mitigation.The ideal candidate will have excellent communication and interpersonal...

  • Compliance and Risk Manager

    6 days ago

    Cape Town, Western Cape, South Africa Ntt Full time

    Job DescriptionWe are seeking a Trading Activity Monitoring Lead to join our team. As a key member of our compliance and risk management department, you will be responsible for monitoring trading activity and ensuring compliance with JSE trading rules.Key Responsibilities:Develop and implement strategies to detect insider trading and other prohibited...

  • Compliance Officer

    3 weeks ago

    Cape Town, Western Cape, South Africa Network Recruitment Full time

    Duties: Corporate Governance Support: Provide company secretarial services and assist the Group Company Secretary with governance and regulatory duties. Draft and review resolutions and minutes, ensuring proper documentation in the resolution register. Prepare essential documents for board and committee meetings. Manage annual return filings and oversee...

  • Compliance Officer

    3 weeks ago

    Cape Town, Western Cape, South Africa Network Recruitment Full time

    Corporate Governance Support Provide company secretarial services and assist the Group Company Secretary with governance and regulatory duties. Draft and review resolutions and minutes, ensuring proper documentation in the resolution register. Prepare essential documents for board and committee meetings. Manage annual return filings and oversee CIPC-related...

  • Group Compliance and Risk Officer

    6 days ago

    Cape Town, Western Cape, South Africa Oceana Group Limited Full time

    Job OverviewOceana Group Limited is a leading company in the industry, and we are seeking a highly skilled Compliance and Risk Management Professional to join our team. The successful candidate will be responsible for maintaining and monitoring our legislative universe, ensuring compliance with relevant laws and regulations.Main ResponsibilitiesLegislative...

  • Senior Risk and Compliance Specialist

    6 days ago

    Cape Town, Western Cape, South Africa Oceana Group Limited Full time

    About the JobOceana Group Limited is a leading company in the industry, and we are seeking a highly skilled Group Compliance and Risk Officer to join our team. The successful candidate will play a crucial role in executing and assisting the Executive: Sustainability, Risk & Compliance in identifying, assessing, and mitigating risks that impact our value...

  • Compliance Officer

    2 weeks ago

    Cape Town, Western Cape, South Africa GG Financial Recruitment Full time

    Growing Company, who is operating as a Consultancy Firm in the Financial Services industry, is seeking the services of a Compliance Officer to join their dynamic young team. Based in Southern suburbs Cape Town.Duties & ResponsibilitiesYou will be required to act as Director of an anticipated Compliance Firm my client wishes to register with the Financial...

  • Compliance Officer

    1 week ago

    Cape Town, Western Cape, South Africa GG Financial Recruitment Full time

    Growing Company, who is operating as a Consultancy Firm in the Financial Services industry, is seeking the services of a Compliance Officer to join their dynamic young team.  Based in Southern suburbs Cape Town.Duties & Responsibilities You will be required to act as Director of an anticipated Compliance Firm my client wishes to register with the Financial...

  • Compliance Officer Expert

    2 days ago

    Cape Town, Western Cape, South Africa Amicorp Group Full time

    Job DescriptionThe role of the Compliance Officer at Amicorp Group requires an experienced professional with a strong background in financial services and compliance. The ideal candidate will have at least 8 years of experience in working in an international financial services or investment fund in a Compliance/MLRO role.The successful candidate will be...

  • Compliance Officer

    6 days ago

    Cape Town, Western Cape, South Africa West Coast Personnel Full time

    We are looking for a Compliance Officer to join our team at West Coast Personnel. As a Construction Coordinator, you will be responsible for ensuring that all projects meet regulatory requirements and client specifications.About the Role:Ensure compliance with OHS Act regulations and client specifications.Conduct risk assessments and implement control...

  • Risk and Compliance Manager

    6 days ago

    Cape Town, Western Cape, South Africa Oceana Group Limited Full time

    About the RoleWe are seeking a highly skilled Risk and Compliance Manager to join our team at Oceana Group Limited. This role is pivotal in executing and assisting the Executive: Sustainability, Risk & Compliance in identifying, assessing, and mitigating risks that impact our value creation strategy.The successful candidate will focus on managing risks...

  • Compliance Risk Manager

    5 days ago

    Cape Town, Western Cape, South Africa Sanlam Full time

    Company OverviewThe Sanlam Investment Group is a leading financial services and investment firm in Southern Africa, with assets under management and administration exceeding R2 trillion. Our organization is committed to empowering generations to be financially confident, secure, and prosperous.Job DescriptionWe are seeking a highly skilled Assistant...

  • Compliance Officer Assistant

    6 days ago

    Cape Town, Western Cape, South Africa Sanlam Full time

    About Us\Sanlam Investment Group is one of the largest and most diversified financial services and investment firms in Southern Africa. Our mission is to empower generations to be financially confident, secure, and prosperous through our vast in-house expertise and strategic partner networks.\Job Summary\We are seeking a highly skilled and motivated...

  • Compliance Risk Management Professional

    5 days ago

    Cape Town, Western Cape, South Africa Juru Holdings Full time

    Job Summary:Juru Holdings is seeking a skilled Compliance Risk Management Professional to join our team. The successful candidate will be responsible for ensuring the implementation and maintenance of a robust compliance program aimed at preventing and detecting violations of legislation, internal rules, policies, and investment guidelines.The ideal...

  • Compliance and Risk Manager

    1 day ago

    Cape Town, Western Cape, South Africa Patrianna Full time

    About the RolePatrianna is seeking a Compliance and Risk Manager to oversee key areas of our Player Operations department. This includes managing risk management strategies, fraud detection systems, and compliance with industry best practices.This role requires expertise in managing high-performing teams, driving operational improvements, and utilizing data...

  • Clerical Officer: Risk and Compliance

    6 days ago

    Cape Town, Western Cape, South Africa Western Cape Full time

    Administrative Clerk: Fleet Risk ManagementThe Western Cape Government Mobility Department has opportunities for nine (9) suitably qualified and competent individuals to administer fleet and non-vehicle related losses, vehicle crashes, third-party claims against the state, claims in favour of the state, advise and assist the office of the State Attorney and...

  • Compliance and Risk Manager

    1 day ago

    Cape Town, Western Cape, South Africa juru Full time

    Job OverviewWe are seeking a skilled Compliance and Risk Manager to join our team. The successful candidate will be responsible for assisting the compliance team in ensuring the implementation and maintenance of an effective compliance and integrity program.Key ResponsibilitiesAssist in monitoring compliance with relevant laws and regulations.Identify and...

  • Compliance Risk Specialist

    1 day ago

    Cape Town, Western Cape, South Africa Mukuru Full time

    We are seeking a skilled Compliance Risk Specialist to join our team at Mukuru. In this role, you will be responsible for reviewing and testing compliance with applicable regulatory compliance legislation, Group frameworks, policies, standards, and internal processes.This includes reviewing and monitoring compliance functions such as financial crime,...