Risk Compliance Officer

2 months ago

CapeTown, South Africa The Recruitment Council Full time
Job Title: Risk & Compliance Officer

The Recruitment Council is seeking a highly skilled Risk & Compliance Officer to join our team. This role plays a critical part in ensuring the organization adheres to all applicable legislation, including the JSE and A2X Exchange Rules and Directives.

Key Responsibilities:
  • Compliance Monitoring: Conduct real-time monitoring of trading activities to ensure compliance and detect irregularities.
  • Trading Limits Management: Oversee the monitoring of daily CAPAD trading limits and prepare monthly submissions to the JSE.
  • Access Management: Handle the onboarding and offboarding of access to trading and back-office systems, ensuring compliance with internal protocols.
  • Daily Checks: Perform daily checks to identify misdeals, outstanding allocations, faulty payments, and incorrect journal entries, reporting any exceptions found.
  • Compliance and AML Reviews: Conduct compliance and Anti-Money Laundering (AML) reviews on the stockbroking division, ensuring adherence to regulatory requirements and internal policies.
  • Root Cause Analysis: Analyze the root causes of any compliance breaches and recommend preventative measures to mitigate future risks.
  • Reporting: Report on business risks and compliance matters to the Board and Executive Committee (Exco) and escalate issues of non-compliance as necessary.
  • Communication: Relay relevant JSE Market Notices and communications to staff, ensuring they are informed of important updates.
  • Regulatory Liaison: Maintain close working relationships with exchanges and relevant regulatory bodies, ensuring effective collaboration on compliance matters.
  • Policy Development: Keep compliance policies updated and effectively communicate changes to staff.
  • Client and Supplier Reviews: Review client and supplier accounts to ensure compliance with the Financial Intelligence Centre Act (FICA).
Requirements:
  • Approximately 7 years of experience in a compliance role within financial services, with a focus on stockbroking.
  • Strong knowledge of relevant legislation, including FICA and the Prevention of Organized Crime Act (POCA).
  • Solid understanding of financial instruments, particularly Fixed Income and Derivatives.
  • Familiarity with FAIS monitoring and stockbroking operations.
  • Experience with local and international settlements and operations.
Qualifications:
  • A BCom, B.Compt, BSC, LLB, FRM, or equivalent qualification is essential.
Key Competencies:
  • Analytical Skills: Strong ability to collect, research, and process data effectively to develop efficient compliance processes.
  • Problem-Solving: Proficient in identifying and resolving problems promptly while providing viable solutions.
  • Interpersonal Skills: Excellent verbal and written communication abilities to engage effectively with various stakeholders.
  • Team Player: Demonstrates a positive attitude, contributing to a collaborative team environment.
  • Deadline Driven: Capable of managing multiple tasks and meeting deadlines, especially under pressure.
  • Quality Management: Committed to improving and promoting quality standards, demonstrating accuracy in all tasks.

This position offers an exceptional opportunity to join a leading stockbroking team, providing significant exposure and challenges in the Risk and Compliance arena, while contributing to the overall integrity of financial operations.

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