Compliance Officer: Financial Services Expert
1 month ago
CA Financial Appointments is seeking a seasoned Compliance Officer to join our stockbroking team. The successful candidate will be responsible for ensuring compliance with all relevant legislation, including JSE regulations.
Key Responsibilities:- Monitor Trading Activity: Real-time monitoring of trading activity across all asset classes to ensure compliance and identify irregularities.
- Daily Trading Limits: Monitoring daily trading limits and submitting monthly reports to the JSE.
- Onboarding and Offboarding: Managing onboarding and offboarding processes for trading and backoffice systems to ensure compliance.
- Misdeals and Exceptions: Identifying misdeals, outstanding allocations, faulty payments, and incorrect journals, and reporting any exceptions identified.
The ideal candidate will have at least 7 years' experience in a similar role in financial services, preferably in stockbroking compliance. A minimum of a completed BCom, BCompt, BSc, LLb, FRM, or equivalent qualification is required.
Salary and Benefits:We offer a competitive salary of R850,000 - R1,050,000 per annum, depending on experience, plus benefits that include medical aid, retirement funding, and annual leave.
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