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 submissions 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.Participate in BCP testing as required.Ensure all FAIS reporting is submitted timeously.
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