Current jobs related to Risk & Compliance Officer - Cape Town - CA Financial Appointments

  • Risk & Compliance Officer

    2 months ago

    Cape Town, South Africa CA Financial Appointments Full time

    Exceptional opportunity for a Compliance Officer with relevant financial services experience to join a stockbroking team. Role is responsible for all compliance legislation for their team including JSE. Ideal candidates will have completed their RPE and JSE exams, or be willing to complete these. Role reports to the Chief Operating Officer.Responsibilities:...

  • Head of Compliance

    7 months ago

    Cape Town, South Africa Compliance Recruitment Solutions Full time

    Posted by - David Symes- Recruiter**HEAD OF COMPLIANCE (CAPE TOWN) - AML (INC FRAUD & KYC) AND STAFF MANAGEMENT EXPERIENCE REQUIRED** **Ref: 4001G** **ZAR 100K-120K Per Month + Good Bens & Bonus inc Flexible Working Cape Town** Our client, a rapidly expanding Fintech in the money transfer sector, seeks an experienced Head of AML & Compliance to develop...

  • Risk Management and Compliance Officer

    2 weeks ago

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

    Are you a driven and results-oriented professional looking for a new challenge? We have an exciting opportunity for a Risk Management and Compliance Officer to join our Support Services team at O'Brien Recruitment's Federal Head Office in Cape Town.This role requires a strong understanding of health and safety legislation and regulations, as well as...

  • Compliance and Risk Officer

    2 weeks ago

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

    About the Role:We are seeking a talented Risk Management Specialist to join our team at The Recruitment Council. This is a fantastic opportunity for individuals with a passion for risk management and compliance to take on new challenges. As a Risk Management Specialist, you will be responsible for conducting compliance reporting, reviewing legislative...

  • Compliance and Risk Officer

    2 weeks ago

    Cape Town, Western Cape, South Africa West Coast Personnel Full time

    West Coast Personnel is seeking a Compliance and Risk Officer to join our team. As a key member of our finance department, you will be responsible for leading internal control activities, establishing and monitoring internal control frameworks, and collaborating with internal and external auditors. Your primary focus will be on assisting the CFO with...

  • Compliance Risk Officer

    4 weeks ago

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

    About This RoleWe are seeking a highly skilled Compliance Risk Officer to join our team in Westlake, Cape Town. As a key member of our stockbroking division, you will play a vital role in ensuring the organization adheres to all applicable legislation and regulations.Job SummaryThe Compliance Risk Officer is responsible for monitoring trading activities,...

  • JSE Risk and Compliance Officer | Westlake

    2 months ago

    Cape Town, South Africa The Recruitment Council Full time

    Reporting to the COO, the JSE Risk and Compliance Officer is responsible for ensuring that the company complies with relevant legislation, including JSE and A2X Exchange Rules and Directives. The role also involves supporting the Board in maintaining adherence to internal policies and procedures, overseeing regulatory compliance, and managing risks across...

  • Chief Compliance Officer

    3 months ago

    Cape Town, South Africa Amazon Full time

    Amazon's Risk and Compliance Solutions team is looking for an experienced compliance professional to lead our South Africa Compliance office. The Senior Compliance Manager is a senior role within the MEA Compliance team and is responsible for operating and improving our 2nd line compliance programs in South Africa. Key job responsibilities The Senior...

  • Chief Compliance Officer

    2 months ago

    Cape Town, South Africa ENGINEERINGUK Full time

    DESCRIPTION Amazon's Risk and Compliance Solutions team is looking for an experienced compliance professional to lead our South Africa Compliance office. The Senior Compliance Manager is a senior role within the MEA Compliance team and is responsible for operating and improving our 2nd line compliance programs in South Africa. Key job responsibilities The...

  • Compliance Officer

    2 weeks ago

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

    About The RoleWe are seeking a highly skilled Compliance Officer to join our risk and compliance team in Rondebosch.This role will support and implement risk and compliance policies and procedures for our advisory, fiduciary, and consulting operations.The position involves accurate risk and compliance reporting, including ad-hoc review and analysis work for...

  • Compliance Officer

    15 hours ago

    Cape Town, South Africa Tracking Talent Full time

    A local Investment Company is seeking a FICA and FAIS Compliance Officer to join their Fund Due Diligence Team. This company is a small, yet well-established firm located in the Northern Suburbs of Cape Town. This position is well suited to someone with high energy levels, independence, and with a sincere enthusiasm for compliance. **Qualifications &...

  • Compliance Officer

    15 hours ago

    Cape Town, South Africa Socian Full time

    Compliance officer **Responsibilities**: Implement and manage an effective legal compliance program. Develop and review company policies. Advise management on the company’s compliance with laws and regulations through detailed reports. Create and manage effective action plans in response to audit discoveries and compliance violations. Regularly audit...

  • JSE Risk and Compliance Officer | Cape Town

    2 months ago

    Cape Town, South Africa The Recruitment Council Full time

    Job Title: JSE Risk and Compliance OfficerLocation: Westlake, Cape TownReporting Line: Chief Operating OfficerJob Summary:The JSE Risk and Compliance Officer plays a critical role in ensuring that the organization adheres to all applicable legislation, including the JSE and A2X Exchange Rules and Directives. Reporting to the Chief Operating Officer, this...

  • Compliance Officer: Governance and Risk Management Expert

    4 weeks ago

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

    Masthead Ltd, a leading national supplier of risk management services, is seeking an exceptional Compliance Officer to join their team. As a key player in the financial services industry, this role offers a unique opportunity to work with innovative thinking and unconventional ideas.Job SummaryThe successful candidate will be responsible for delivering...

  • Compliance Officer

    8 months ago

    Cape Town, South Africa CA Financial Appointments Full time

    My client, a boutique Wealth Management firm is looking for a Compliance Officer to join their team. This role is responsible for the compliance support and implementation of risk and compliance policies and procedures for the company. **Responsibilities**: - Compliance reporting on behalf of business unit; internal and external (statutory) requirements -...

  • JSE Risk and Compliance Officer | Westlake

    2 months ago

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

    Reporting to the COO, the JSE Risk and Compliance Officer is responsible for ensuring that the company complies with relevant legislation, including JSE and A2X Exchange Rules and Directives. The role also involves supporting the Board in maintaining adherence to internal policies and procedures, overseeing regulatory compliance, and managing risks across...

  • Compliance Officer

    4 weeks ago

    Cape Town, South Africa Jobted ZA C2 Full time

    Overview Hire Resolve is seeking a skilled and experienced Compliance Officer to join our client, a leading global financial services company. This is an exciting opportunity for a compliance professional to play a critical role in ensuring regulatory adherence and fostering a strong culture of compliance within a dynamic and fast-paced organization. The...

  • Assistant Compliance Officer

    15 hours ago

    Cape Town, South Africa Lion of Africa Life Assurance Company Full time

    **Assistant compliance Officer** to be based in Cape Town CBD, Western Cape. The company is looking for an exciting talent to join and fill the said role in our Compliance Unit. We are looking for a graduate fresh out of university and wanting to work within the insurance industry. DUTIES AND RESPONSIBILITIES: - Assist the Compliance Officer in embedding...

  • Administrative Officer: Immovable Asset Register

    7 months ago

    Cape Town, South Africa Western Cape Government Full time

    **Job Purpose**: The Department of Infrastructure, Western Cape Government has an employment opportunity for a suitably qualified and competent individual to maintain and report on the Provincial Immovable Asset Register and to undertake vesting and other ownership matters. **Minimum Requirements**: An appropriate 3-year tertiary qualification (National...

  • Assistant Compliance Officer

    2 days ago

    Cape Town, South Africa Moving Heads Personnel Full time

    **Assistant Compliance Officer** **Cape Town** Assist the compliance team in ensuring that the Group implements and maintains an effective, committed compliance and integrity program, to prevent and detect violations of legislation, internal rules and policies and investment guidelines. - Assist in monitoring compliance with applicable legislation and...

Risk & Compliance Officer

1 month ago

Cape Town, South Africa CA Financial Appointments Full time

Exceptional opportunity for a Compliance Officer with relevant financial services experience to join a stockbroking team. Role is responsible for all compliance legislation for their team including JSE. Ideal candidates will have completed their RPE and JSE exams, or be willing to complete these. Role reports to the Chief Operating Officer.
Responsibilities:
Monitor Trading activity in real time across all asset classes, ensure compliance, identify irregularities, manage risk
Monitor daily trading Limits and Monthly submission to JSE
Manage onboarding and offboarding, Trading and backoffice systems, ensure compliance
Identify misdeals, outstanding allocations, faulty payments, incorrect journals made, report on any exceptions identified
Conduct compliance and AML reviews and monitoring on stockbroking division
Prepare compliance reports
Manage compliance and AML reviews, ensure business units adhere to regulatory requirements and the Companies policies and procedures
Report on business risks and compliance Matters to the Board and Exco
Flag non-compliance issues, manage all incident reporting to the Board and Exco
Liaise with Exchanges and relevant Regulatory Bodies
Liaise with Group Legal, Risk and Compliance, ensure effective and up to date compliance programme is maintained
Keep relevant policies updated and communicate to staff
Respond to queries on all regulatory compliance matters
Investigate, track resolution and report compliance breaches
Ensure reporting obligations, both internal and regulatory reporting requirements are done
Liaise with key internal Group and the broader Group governance stakeholders
Review client and supplier accounts, ensure compliance with FICA
Develop and document business processes
Liaise with regulators
Participate in BCP Testing as required
Ensure all FAIS reporting is submitted timeously
Requirements:
Minimum of a completed BCom, BCompt, BSc, LLb, FRM or equivalent qualification
Minimum of 7 years' experience in a similar role in financial services, with a preference for previous stockbroking compliance experience
Knowledge of relevant legislation i.e., FICA, POCA etc.
Strong knowledge of financial instruments, Fixed Income and Derivatives, FAIS Monitoring and ideally stockbroking operations as well
Knowledge of local and international settlements and operations
Strong MS Office and Excel skills
Please note that if you have not heard from us within 2 weeks of your application, please consider it as unsuccessful for this particular role. Please do though continue to follow us online and apply for suitable opportunities.