Compliance Officer: Financial Services Expert

1 month ago


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

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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