Compliance Officer

2 weeks ago

Centurion, South Africa Momentum Securities Full time

**Introduction**

Momentum Securities provides a full range of stockbroking services supported by strong management and administrative capabilities. We pride ourselves on product innovation and client service. One of our key strengths is our ability to devise solutions for your individual needs, with all our expertise at your disposal. We provide a full range of stockbroking solutions including ; traditional trade executions (non-discretionary/self-managed portfolio), an advisory portfolio,
full-service stockbroking service.

**Role Purpose**

The purpose of the **Compliance officer role **is to ensure that Momentum Securities has systems of internal control that adequately identifies, measure, monitor, manage and report of the compliance risks it faces. Additionally, the role provides regulatory advise to business units in order to assist in the achievement of strategic business objectives, within the regulatory framework.

**Requirements**:
**Qualifications**:

- Relevant qualification, such as a Bachelor of Law/BProc/BCom/LLB
- JSE Compliance Officer Certificate
- JSE Derivatives Compliance (an advantage)

**Experience**:

- 3-5 years’ experience in an end to end compliance function within the Financial Service Industry including full licence management functions.
- In-depth knowledge of Investment Securities and JSE regulations.

**Duties & Responsibilities**

**REVIEW AND MONITORING OF COMPLIANCE PLAN**
- Participate in the review and/or development of an appropriate Compliance Monitoring Plan to ensure completeness and accuracy.
- Carry out the compliance plan and conduct regular monitoring of the aggrieved areas
- Conduct and ensure that monitoring is conducted in line with the approved annual monitoring plan

**ENSURES COMPLIANCE REPORTING, POLICIES & PROCESSES**
- Contribute to the review of all critical Compliance policies on an annual basis, in respect of the areas specifically assigned to this role. In addition, the Investment Compliance Policy Register must be appropriately maintained.
- Contribute to the initiation and/or participate in the appropriate implementation of critical statutory projects relevant to Investment Compliance
- Providing reports, regular and ad hoc to Divisional/Business unit Management, Group Compliance and other relevant forums
- Ensure compliance obligations are factored into contracts with external suppliers/service providers, where applicable
- Implement and provide input into governance processes, systems, and legislation within area of specialisation.
- Contribute to the review of all critical Compliance policies on an annual basis, in respect of the areas specifically assigned to this role. In addition, the Investment Compliance Policy Register must be appropriately maintained.
- Contribute to the initiation and/or participate in the appropriate implementation of critical statutory projects relevant to Investment Compliance
- Providing reports, regular and ad hoc to Divisional/Business unit Management, Group Compliance and other relevant forums
- Ensure compliance obligations are factored into contracts with external suppliers/service providers, where applicable
- Implement and provide input into governance processes, systems and legislation within area of specialisation.
- Assisting with the preparation and submission of the statutory reports to regulatory authorities (FAIS, NCR, JSE).
- Escalate unresolved policy and governance compliance issues via appropriate channels for investigation and resolution purposes.
- Provide input into the risk identification processes development and communicate recommendations in the appropriate forum.
- Loading and maintenance of the pledge register.
- Compiles missed deal reports in conjunction with business risk.
- Providing compliance into the onboarding of IFAs.
- Assistance with the collection of documentation and information for external monitoring and regulatory inspections.
- Providing compliance input to due diligence reports.
- Assists with administration of governance committees.

**Competencies**
- ** Providing Insights**: Is focused on continuously improving things; provides insights by identifying key issues; makes intuitive judgements.
- ** Articulating information**: Is articulate in giving presentations; is eloquent and explains things well; projects social confidence when articulating information.
- ** Generating ideas**: Is creative in producing ideas; assumes an original approach when generating. ideas; adopts radical solutions.
- ** Challenging ideas**: Prepared to disagree and question assumptions; challenges ideas and established views; comfortable arguing own perspective.
- ** Showing Composure**: Stays calm and relaxed during events; is not worried and tolerates stress levels; is composed in dealing with pressure.
- ** Checking Things**: Is meticulous in finding errors; ensures accuracy by being thorough and checking details; produces high quality work by being detailed.
- ** Examining Information**: A

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