JSE Risk and Compliance Professional
1 month ago
The Recruitment Council seeks an experienced JSE Risk and Compliance Professional to join our team. Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives. The ideal candidate will have a strong understanding of financial instruments, including Fixed Income and Derivatives, and experience in a full compliance function in a stockbroking firm.
Key Responsibilities:- Real-time monitoring of trading activity across all asset classes to ensure compliance and detect irregularities
- Monitoring of daily CAPAD trading limits and monthly submission to JSE
- Onboarding and offboarding access to trading and back-office systems to ensure compliance
- Conducting daily checks to identify misdeals, outstanding allocations, and faulty payments
- Conducting compliance and AML reviews and monitoring on stockbroking division in accordance with the compliance programme and stipulated timelines
Requirements:
- Approx. 7 years of experience in a similar role in financial services
- Knowledge of relevant legislation, including FICA and POCA
- A solid understanding of financial instruments, including Fixed Income and Derivatives
- Strong knowledge of stockbroking operations and computer literacy in MS Office, especially Excel
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