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 riskMonitor daily trading Limits and Monthly submission to JSEManage onboarding and offboarding, Trading and backoffice systems, ensure complianceIdentify misdeals, outstanding allocations, faulty payments, incorrect journals made, report on any exceptions identifiedConduct compliance and AML reviews and monitoring on stockbroking division Prepare compliance reportsManage compliance and AML reviews, ensure business units adhere to regulatory requirements and the Companies policies and proceduresReport on business risks and compliance Matters to the Board and ExcoFlag non-compliance issues, manage all incident reporting to the Board and ExcoLiaise with Exchanges and relevant Regulatory BodiesLiaise with Group Legal, Risk and Compliance, ensure effective and up to date compliance programme is maintainedKeep relevant policies updated and communicate to staffRespond to queries on all regulatory compliance mattersInvestigate, track resolution and report compliance breachesEnsure reporting obligations, both internal and regulatory reporting requirements are doneLiaise with key internal Group and the broader Group governance stakeholdersReview client and supplier accounts, ensure compliance with FICADevelop and document business processesLiaise with regulatorsParticipate in BCP Testing as requiredEnsure all FAIS reporting is submitted timeouslyRequirements: 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 experienceKnowledge of relevant legislation i.e., FICA, POCA etc.Strong knowledge of financial instruments, Fixed Income and Derivatives, FAIS Monitoring and ideally stockbroking operations as wellKnowledge of local and international settlements and operationsStrong 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.