Compliance Specialist
1 week ago
**Job Title:** Risk & Compliance Officer
**Estimated Salary:** R800,000 - R1,200,000 per annum.
We are seeking an experienced Risk & Compliance Officer to join our team at CA Financial Appointments. The ideal candidate will have a minimum of 7 years' experience in a similar role in financial services, with a preference for previous stockbroking compliance experience.
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.
Requirements:
- Minimum of a completed BCom, BCompt, BSc, LLb, FRM, or equivalent qualification.
- Strong knowledge of financial instruments, Fixed Income, and Derivatives, FAIS Monitoring, and ideally stockbroking operations.
- Knowledge of local and international settlements and operations.
- Strong MS Office and Excel skills.
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