JSE Risk and Compliance Specialist

3 weeks ago

Cape Town, Western Cape, South Africa The Recruitment Council Full time
Job Summary

The JSE Risk and Compliance Officer plays a crucial role 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 activity across all asset classes to ensure compliance, detect irregularities, and manage risk effectively.
  • 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).
Required Experience:
  • 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.
Required 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 role offers an exceptional opportunity to contribute to the overall integrity of financial operations and join a leading stockbroking team, providing significant exposure and challenges in the Risk and Compliance arena.

  • JSE Regulatory Compliance Specialist

    3 weeks ago

    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    Job Title: JSE Regulatory Compliance SpecialistAbout the Role: We are seeking a highly skilled JSE Regulatory Compliance Specialist to join our team at The Recruitment Council.Key Responsibilities:Ensure compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives.Assist the Board to ensure adherence to internal policies and...

  • JSE Risk and Compliance Officer

    1 month ago

    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    Job Title: JSE Risk and Compliance OfficerThe Recruitment Council is seeking a highly skilled JSE Risk and Compliance Officer to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are in line with applicable legislation and regulations.Key Responsibilities:Monitor and report on trading...

  • JSE Compliance Expert

    3 days ago

    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    The Recruitment Council is seeking a highly skilled JSE Compliance Expert to join our team. As a key member of our organization, you will play a critical role in ensuring compliance with applicable legislation, including the JSE and A2X Exchange Rules & Directives.About the RoleIn this exciting position, you will be responsible for monitoring trading...

  • Compliance Risk Specialist

    5 days ago

    Cape Town, Western Cape, South Africa Communicate Recruitment Full time

    About the RoleWe are seeking an experienced Compliance Risk Specialist to join our team at Communicate Recruitment.This is a fantastic opportunity for individuals who are passionate about ensuring compliance with regulatory requirements and have a keen eye for detail.The successful candidate will work closely with our clients to understand their compliance...

  • Compliance Risk Specialist

    3 weeks ago

    Cape Town, Western Cape, South Africa MRI Software Full time

    ​Job SummaryMRI Software is seeking a skilled Compliance Risk Specialist to play a crucial role in ensuring our business practices align with relevant regulations, industry best practices, and common security standards.Key ResponsibilitiesCollaborate with business stakeholders to conduct comprehensive audits and evaluations of various business functions to...

  • AML Compliance Risk Specialist

    5 days ago

    Cape Town, Western Cape, South Africa Old Mutual Full time

    Unlock your potential in a challenging and rewarding role as an AML Compliance Risk Specialist at Old Mutual.Salary: R600,000 - R800,000 per annumAbout the RoleThis exciting opportunity exists within the Central Anti-Money Laundering (AML) Office for someone who is passionate about AML and compliance. The role focuses on responsibilities outlined in section...

  • AML Risk and Compliance Specialist

    5 days ago

    Cape Town, Western Cape, South Africa Performability Recruitment Full time

    About the RoleWe are seeking an experienced AML Operations Specialist to join our team at Performability Recruitment. As a key member of our compliance team, you will play a critical role in safeguarding our clients' reputation by ensuring compliance with stringent anti-money laundering (AML), counter-terrorism financing (CTF), and counter-proliferation...

  • Risk and Compliance Specialist

    3 weeks ago

    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    The Recruitment Council is seeking a dedicated Compliance Officer to join their risk and compliance team in a dynamic and collaborative environment. This role will support and implement risk and compliance policies and procedures for their advisory, fiduciary, and consulting operations.Key Responsibilities:Conduct compliance reporting for business units to...

  • Compliance Risk Management Specialist

    3 days ago

    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    About The JobWe are seeking a highly skilled Compliance Risk Management Specialist to join our team at The Recruitment Council. This role is responsible for ensuring compliance with relevant legislation and regulations in the financial services industry.

  • Treasury Specialist: Financial Risk and Banking

    3 weeks ago

    Cape Town, Western Cape, South Africa TFG Finance and Advisory Full time

    Position OverviewAs a key member of the TFG Finance and Advisory team, the Senior Specialist: Treasury will play a critical role in managing the company's financial risk, cash flow, and investment strategies. The successful candidate will have a strong understanding of treasury, liquidity, and financial risk management, with experience in banking and...

  • Compliance Officer

    3 weeks ago

    Cape Town, Western Cape, South Africa The Recruitment Council Full time

    Job DescriptionThe Recruitment Council is seeking a highly skilled Compliance Officer to join their team in a dynamic role that requires strong risk management and regulatory expertise. This position is ideal for individuals with a background in Accounting or Risk Management, or those with relevant experience in compliance and risk.Key...

  • Compliance Risk Specialist

    4 days ago

    Cape Town, Western Cape, South Africa O'Brien Recruitment Full time

    Job Summary:O'Brien Recruitment is seeking a Compliance Risk Specialist to join our Support Services team in Cape Town.About the Role:This role involves designing, implementing, and managing effective health and safety protocols to promote compliance across the organisation.Main Responsibilities:Develop and maintain health and safety standards, policies, and...

  • Compliance Specialist

    1 month ago

    Cape Town, Western Cape, South Africa MRI Software Full time

    About MRI SoftwareMRI Software is a global leader in real estate software, dedicated to creating innovative solutions that improve people's lives. With a rich history dating back to 1971, we've built a reputation for delivering flexible and game-changing software that meets the evolving needs of the real estate industry.Job Title: Compliance SpecialistWe're...

  • IT Risk Management Specialist

    1 month ago

    Cape Town, Western Cape, South Africa Recru-it Full time

    Job Title: IT Risk Management SpecialistAbout the Role:We are seeking a highly skilled IT Risk Management Specialist to join our team at Recru-it. As an IT Risk Management Specialist, you will play a critical role in supporting our clients' objectives by actively involved in supporting IT risk management and Third-Party Risk management activities.Key...

  • Regulatory Compliance Specialist

    1 day ago

    Cape Town, Western Cape, South Africa Masthead Ltd Full time

    Job Summary: We are seeking a highly skilled Regulatory Compliance Specialist to deliver high-quality compliance and risk management services to our clients at a regional level.

  • Compliance Risk Management Specialist

    5 days ago

    Cape Town, Western Cape, South Africa Old Mutual Full time

    Job Description:This role assists the business unit Compliance Officer in establishing and embedding a culture of compliance across the business unit. The successful candidate will develop and implement compliance risk management and monitoring plans, ensuring that applicable legislation is being complied with by staff.The role involves regularly reviewing...

  • Code Compliance Specialist

    1 month ago

    Cape Town, Western Cape, South Africa beBee Professionals Full time

    Job Title: Code Compliance SpecialistJob Summary: We are seeking a Code Compliance Specialist to ensure that our company's code of conduct is adhered to and that all employees comply with our policies and procedures.Key Responsibilities:Monitor and report on any violations of the code of conductEnsure that all employees are aware of and comply with the...

  • Compliance Risk Manager

    3 weeks ago

    Cape Town, Western Cape, South Africa Masthead Ltd Full time

    Job Title: Compliance OfficerAt Masthead Ltd, our passion is keeping businesses in business. We are a national supplier of risk management services to independent financial advisors and other licensed financial service providers.We are looking for a Compliance Officer who is client-focused, sets high standards of delivery, and has a willingness to go the...

  • Risk Management Specialist

    3 weeks ago

    Cape Town, Western Cape, South Africa Recru-it Full time

    About the Role:Recru-it is seeking a skilled Risk Management Specialist to join our team.As a Risk Management Specialist, you will play a critical role in ensuring the company's IT risk management processes are effective and compliant with regulations.Key Responsibilities:Implement and automate risk management processes to ensure the company's IT assets are...

  • Compliance Risk Manager

    4 weeks ago

    Cape Town, Western Cape, South Africa Masthead Ltd Full time

    Compliance Officer Job DescriptionMasthead Ltd is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will be responsible for delivering a quality compliance and risk management service to our clients at a regional level.Key Responsibilities:Deliver outsourced compliance functions to financial services clients and other...