Financial Regulatory Compliance Manager

1 week ago


Cape Town, Western Cape, South Africa CA Financial Appointments Full time

**About the Role:** We are seeking a highly skilled Risk & Compliance Officer to join our team at CA Financial Appointments. This is a unique opportunity to work in a dynamic environment and make a significant impact on our business.

The ideal candidate will have a strong understanding of financial regulations and be able to apply this knowledge to ensure compliance with relevant laws and regulations.

Key Responsibilities:

  • Monitor trading activity in real-time across all asset classes, ensuring compliance and identifying irregularities.
  • Manage onboarding and offboarding processes for trading and back-office systems, ensuring compliance.
  • Identify misdeals, outstanding allocations, faulty payments, and incorrect journals made, reporting on any exceptions identified.
  • Conduct compliance and AML reviews and monitoring on the stockbroking division.
  • Prepare compliance reports.

**Salary Range:** The estimated salary for this role is R800,000 - R1,200,000 per annum.



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