Enforcement Specialist (Market Regulation)ZAR 300000 - 400000Listing reference: jse_000536Listing status: OnlineApply by: 19 August 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 assist the Enforcement Manager to monitor and enforce JSE regulations and rules in line with the requirements of the Financial Market Act to mitigate risks and protect JSE reputation and integrity.ResponsibilitiesStakeholder ExperienceMaintain a professional approach towards our regulatory interactions with the member firms and other relevant stakeholders which promotes our reputation as a trusted, respected regulator.Assess feedback received from the internal and external stakeholders and member firms regarding the professionalism and timeous nature of our interactions with them.Ensure that our behaviour demonstrated aligns with the JSE values.Assistance To Member Application And Onsite Review TeamsAssist Member Application team in conducting due diligence on the applicant.Identify all individuals that require further investigation and stop applications from proceeding.Assist On-site Review team with information in relation to the breaches to be looked at during the review.EnforcementInvestigate alleged breaches of the JSE Rules by the members across all markets that gets referred to the department by external and/or internal stakeholders.Investigate cases of CAPAD breaches by the JSE members as referred to Enforcement by the CAPAD team.Produce enforcement report according to acceptable standard in relation to the investigation conducted.Client Complaints And DisputesFacilitate resolution of disputes between a JSE member and clients in line with the provisions of the JSE Rules.Acknowledge receipt of complaint or enquiry within 48 hours, respond to the complainant/enquirer in respect of the way forward and/or next steps.Ensure resolution of bonafide complaints within 4 weeks of receipt or provide relevant feedback to the complainant if not in a position to resolve within 4 weeks as well provide as an indication by when a resolution is reasonably forthcoming.Follow up weekly on outstanding responses/matters and ensure that feedback is procured timeously, at least weekly, from all outstanding respondents.Ensure that work schedule is updated accordingly and timeously to further ensure that all annotations are the latest and most current assessment of events.Minimum QualificationsBComm or LLB and CFE1-3 years' experience in capital markets and 1-3 years' experience in complex financial and sensitive investigationsKnowledge and SkillsRelevant regulatory knowledgePrinciples of project managementBusiness continuity standardData analysisInternational Standards for Professional PracticeResearch methodologyCommunicating complex information orallyCompleting a project with constraintsBasic software applications (e.g., Outlook, Word, Excel, Access, Internet, Email)
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