Compliance and Risk Management Expert

2 weeks ago

CapeTown, South Africa The Recruitment Council Full time

The Recruitment Council is seeking a highly skilled Compliance and Risk Management Expert to join our team. As a key member of our organization, you will be responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assisting the Board to ensure adherence to internal policies and procedures.

Key Responsibilities
  • Real-time monitoring of trading activity across all asset classes to ensure compliance, detect irregularities, and manage risk.
  • Maintenance of daily CAPAD trading limits and monthly submission to JSE.
  • Responsible for onboarding and offboarding access to Trading and Backoffice systems to ensure compliance.
  • Daily checks to identify misdeals, outstanding allocations, faulty payments, incorrect journals made, etc., and reporting on any exceptions identified.
  • Conducting compliance and AML reviews and monitoring on stockbroking division in accordance with the compliance program and stipulated timelines, preparing compliance reports.
  • Conducting compliance and AML reviews to ensure business units adhere to regulatory requirements and the Company's policies and procedures.
  • Analyzing the root causes of possible breaches and recommending preventative measures.
  • Reporting on Business Risks and Compliance Matters to the Board and Exco.
  • Escalating issues of non-compliance and managing all incident reporting to the Board and Exco.
  • Communicating relevant JSE Market Notices and Communications to staff.

Required Experience: Approximately 7 years of experience in a similar role in financial services, with exposure to full compliance function in a stockbroking firm.

Knowledge and Skills: Strong knowledge of relevant legislation, i.e., FICA, POCA, etc. A solid understanding of financial instruments, including Fixed Income and Derivatives. A solid understanding of FAIS Monitoring. Strong knowledge of Stockbroking Operations. Knowledge and experience of both local and international settlements and operations. Computer literacy in MS Office, especially Excel essential.

Estimated Salary: R1,200,000 - R1,800,000 per annum

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