Enforcement Analyst (Investigations Officer)Listing reference: jse_000570Listing status: OnlineApply by: 5 November 2024Position summaryJob category: Banking, Finance, Insurance. StockbrokingContract: PermanentRemuneration: Market RelatedEE position: YesAbout our companyThe JSE recognises that its success and strength depend on the quality of its employees. We are committed to fostering a culture of continuous learning and high standards of performance. Our employee wellness programme is designed to encourage work-life balance for employees. We naturally seek to empower staff and encourage diversity and opportunities for all.IntroductionTo identify, assess and investigate potential breaches of the JSE Listings Requirements and to take the appropriate and swift action in terms of the Financial Markets Act to assist in building the reputation of the JSE as a credible, well-regulated exchange. In addition, the objective of the role is to actively enforce the Listings Requirements through various disciplinary tools employed to achieve our regulatory objectives and to promote a high standard of regulatory conduct by deterring non-compliant regulated parties from committing further breaches and thereby helping to deter other parties from committing similar breaches.Key ResponsibilitiesProcess ManagementCompile high quality correspondence which is detailed, accurate, coherent and structured at all times.Follow a fair and objective investigation process of alleged breaches of the Listings Requirements, Admin Law and Financial Markets Act.Deal with and enforce sanctions, objections and appeals from clients in relation to the decision taken by the unit.Communicate complex arguments confidently and eloquently in presenting a matter at sanctions and objections meetings.Examine legal opinions to ensure integrity of the listed regulatory environment.Maintain meticulous information records of all communication relevant to an investigation.Identify inefficiencies and obstacles to achieving processes or outcomes.Results DeliveryConduct a full investigation of all alleged breaches of International Financial Reporting Standards (IFRS) and take appropriate action.Regulate the JSE listed environment by enforcing appropriate actions against regulated parties.Conduct an efficient, fair and thorough censure and objections process.Contribute to the Issuer Regulation business plan and activities.Compile high-quality correspondence to internal and external stakeholders.Provide guidance and expertise to internal stakeholders.Stakeholder Relationship ManagementInteract professionally with stakeholders and regulated parties.Provide comfort to stakeholders by applying best regulation practices.Act fairly towards regulated parties.Influence and develop relationships with external experts.Build, nurture and maintain collaborative relationships with regulatory bodies.Self-ManagementImprove personal capability and professional growth.Keep abreast of changes in the Listings Requirements and relevant legislation.Display professional conduct and adherence to required technical standards.Manage self in terms of development and delivery.Be an effective team member.Transformation and Innovation ContributionAnalyse, research, develop, implement and share improvement ideas.Research and assist in compiling relevant frameworks for investigations.Minimum RequirementsRegistration: SAICA (South African Institute of Chartered Accountants).Postgraduate studies in IFRS – would be an advantage.3-5 years post articles experience in financial reporting and/or analysis of financial statements.Experience in a technical department of an audit firm and/or experience in forensic auditing.Experience with the interpretation and application of the Listings Requirements preferable but not essential.Knowledge and Skills RequiredProfessional KnowledgeSound knowledge of capital markets and the provisions of the Financial Markets Act.Sound knowledge of International Financial Reporting Standards.Knowledge of board processes and duties.Knowledge of administrative decisions and processes.SkillsAbility to solve complex problems.Analytical and critical thinking with strong attention to detail.Excellent verbal and written communication skills.Excellent drafting skills for correspondence and reports.Displays a high level of ethics, integrity and confidentiality.Ability to work under pressure with tight deadlines.Collaboration, networking and building relationships.
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