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Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Jse Risk And Compliance Officer | Cape Town

Posted on 2025-03-17

Employer The Recruitment Council
Salary 0
Category Professions
Location Western Cape  /  Cape Town

Job Summary

Purpose of the role Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies and procedures. The following requirements are essential for the role: JSE Exams: Successful completion of the JSE Equities Compliance Officer and JSE Derivatives Compliance Officer exams SAIFM RPE Exams: Completion of the SAIFM RPE exams, including Introduction to Financial Markets, Regulations and Ethics of the South African Financial Markets, The Bond Market, and The Derivative Market Duties and responsibilities Real Time Monitoring of Trading Activity across all asset classes, to ensure compliance, detect irregularities and manage risk Monitoring of daily CAPAD trading Limits and Monthly submission to JSE Responsible for onboarding and offboarding access to Trading and Backoffice systems to ensure compliance Conduct daily checks to identify misdeals, outstanding allocations, faulty payments, incorrect journals made, etc and report on any exceptions identified Conduct compliance and AML reviews and monitoring on stockbroking division in accordance with the compliance programme and stipulated timelines and prepare compliance reports Conduct compliance and AML reviews to ensure business units adhere to regulatory requirements and the Companies policies and procedures Analyse the root causes of any possible breaches and recommend preventative measures Report on Business Risks and Compliance Matters to the Board and Exco Escalate issues of non-compliance and manage all incident reporting to the Board and Exco Communicate relevant JSE Market Notices and Communications to staff Form close working relationships with Exchanges and Relevant Regulatory Bodies Work closely with Group Legal, Risk and Compliance and ensure effective and up to date compliance programme is maintained Develop close relationship with business units to engender a culture of compliance within the business Responsible for keeping relevant policies updated and communicating to staff Review Client and Supplier accounts to ensure compliance with FICA Develop and document business processes Ad hoc queries and tasks Liaise with regulators Participate in BCP Testing as required Remain abreast of changes to legislation, such that you are able to: Engage the business on changes or requirements in applicable primary legislation. Propose solutions that are efficient and effective, given business and environmental factors. Provide commentary on impending legislation and understand how it pertains to the business. Provide assistance and guidance to the business and respond to queries on all regulatory compliance matters. Investigate, track resolution and report compliance breaches. Coordinate regulatory engagements, including site visits. Ensure reporting obligations, both internal and regulatory reporting requirements, are conducted within required timelines. Liaise with key internal Group and the broader Group governance stakeholders. Actively participate, and represent the Group, in internal Group subject matter forums Ensure all FAIS reporting is submitted timeously. Required experience Approx. 7 years experience in a similar role in financial services where you have had exposure to full compliance function in a stockbroking firm. Knowledge of relevant legislation i.e., FICA, POCA etc. A solid understanding of financial instruments, including Fixed Income and Derivatives. A solid understanding on FAIS Monitoring Strong knowledge on Stockbroking Operations. Knowledge and Experience of both local and international settlements and operations. Computer literacy MS Office, especially Excel essential Excellent knowledge of FICA and know-your-client related documents for both Domestic and International entities Required qualifications BCom, B.Compt, BSC, LLB, FRM or equivalent is essential. Key competencies Analytical Collects, research and process data and information in an intuitive manner and develops effective processes. Problem Solving – Identifies and resolves problems in a timely manner, provides solutions. Strong interpersonal skills Strong verbal and written communication Positive team player – balances team and individual responsibilities, displays objectivity and openness to others & views, gives and welcomes feedback, contributes to building a positive team spirit, puts success of team above own interests. Deadline driven displays the ability to meet deadlines, works well under pressure. Quality Management – Looks for ways to improve and promote quality, demonstrates accuracy, and monitors for quality, applies feedback to improve performance.
Jse Risk And Compliance Officer | Cape Town position available in Western Cape, Cape Town. This job position was posted by The Recruitment Council. The job has been posted as a premium ad on 2025-03-17 at 13:52:01 in the Professions category

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Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Job Title: JSE Risk and Compliance Officer Location: Westlake, Cape Town Reporting Line: Chief Operating Officer Job Summary: The JSE Risk and Compliance Officer plays a critical role in ensuring that the organization adheres to all applicable legislation,


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Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Purpose of the role Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies and procedur


View Job
Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Purpose of the role Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies and procedur


View Job
Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Westlake posted by The Recruitment Council

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 adher

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Jse Risk And Compliance Officer | Westlake

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Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Jse Risk And Compliance Officer | Cape Town

Posted on 2025-03-17

Employer The Recruitment Council
Salary 0
Category Professions
Location Western Cape  /  Cape Town

Job Summary

Purpose of the role Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies and procedures. The following requirements are essential for the role: JSE Exams: Successful completion of the JSE Equities Compliance Officer and JSE Derivatives Compliance Officer exams SAIFM RPE Exams: Completion of the SAIFM RPE exams, including Introduction to Financial Markets, Regulations and Ethics of the South African Financial Markets, The Bond Market, and The Derivative Market Duties and responsibilities Real Time Monitoring of Trading Activity across all asset classes, to ensure compliance, detect irregularities and manage risk Monitoring of daily CAPAD trading Limits and Monthly submission to JSE Responsible for onboarding and offboarding access to Trading and Backoffice systems to ensure compliance Conduct daily checks to identify misdeals, outstanding allocations, faulty payments, incorrect journals made, etc and report on any exceptions identified Conduct compliance and AML reviews and monitoring on stockbroking division in accordance with the compliance programme and stipulated timelines and prepare compliance reports Conduct compliance and AML reviews to ensure business units adhere to regulatory requirements and the Companies policies and procedures Analyse the root causes of any possible breaches and recommend preventative measures Report on Business Risks and Compliance Matters to the Board and Exco Escalate issues of non-compliance and manage all incident reporting to the Board and Exco Communicate relevant JSE Market Notices and Communications to staff Form close working relationships with Exchanges and Relevant Regulatory Bodies Work closely with Group Legal, Risk and Compliance and ensure effective and up to date compliance programme is maintained Develop close relationship with business units to engender a culture of compliance within the business Responsible for keeping relevant policies updated and communicating to staff Review Client and Supplier accounts to ensure compliance with FICA Develop and document business processes Ad hoc queries and tasks Liaise with regulators Participate in BCP Testing as required Remain abreast of changes to legislation, such that you are able to: Engage the business on changes or requirements in applicable primary legislation. Propose solutions that are efficient and effective, given business and environmental factors. Provide commentary on impending legislation and understand how it pertains to the business. Provide assistance and guidance to the business and respond to queries on all regulatory compliance matters. Investigate, track resolution and report compliance breaches. Coordinate regulatory engagements, including site visits. Ensure reporting obligations, both internal and regulatory reporting requirements, are conducted within required timelines. Liaise with key internal Group and the broader Group governance stakeholders. Actively participate, and represent the Group, in internal Group subject matter forums Ensure all FAIS reporting is submitted timeously. Required experience Approx. 7 years experience in a similar role in financial services where you have had exposure to full compliance function in a stockbroking firm. Knowledge of relevant legislation i.e., FICA, POCA etc. A solid understanding of financial instruments, including Fixed Income and Derivatives. A solid understanding on FAIS Monitoring Strong knowledge on Stockbroking Operations. Knowledge and Experience of both local and international settlements and operations. Computer literacy MS Office, especially Excel essential Excellent knowledge of FICA and know-your-client related documents for both Domestic and International entities Required qualifications BCom, B.Compt, BSC, LLB, FRM or equivalent is essential. Key competencies Analytical Collects, research and process data and information in an intuitive manner and develops effective processes. Problem Solving – Identifies and resolves problems in a timely manner, provides solutions. Strong interpersonal skills Strong verbal and written communication Positive team player – balances team and individual responsibilities, displays objectivity and openness to others & views, gives and welcomes feedback, contributes to building a positive team spirit, puts success of team above own interests. Deadline driven displays the ability to meet deadlines, works well under pressure. Quality Management – Looks for ways to improve and promote quality, demonstrates accuracy, and monitors for quality, applies feedback to improve performance.
Jse Risk And Compliance Officer | Cape Town position available in Western Cape, Cape Town. This job position was posted by The Recruitment Council. The job has been posted as a premium ad on 2025-03-17 at 13:49:38 in the Professions category

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Apply directly for this position. Please read all instructions carefully.

We do not process job applications; we simply aggregate and display job listings.

More related positions

Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Job Title: JSE Risk and Compliance Officer Location: Westlake, Cape Town Reporting Line: Chief Operating Officer Job Summary: The JSE Risk and Compliance Officer plays a critical role in ensuring that the organization adheres to all applicable legislation,


View Job
Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Purpose of the role Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies and procedur


View Job
Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Purpose of the role Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies and procedur


View Job
Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Westlake posted by The Recruitment Council

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 adher

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Jse Risk And Compliance Officer | Westlake

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Posted in Jobs in Cape Town, Jobs in Western Cape

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Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Jse Risk And Compliance Officer | Cape Town

Posted on 2025-03-17

Employer The Recruitment Council
Salary 0
Category Professions
Location Western Cape  /  Cape Town

Job Summary

Job Title: JSE Risk and Compliance Officer Location: Westlake, Cape Town Reporting Line: Chief Operating Officer Job 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 position is responsible for monitoring trading activities, conducting compliance reviews, and fostering a culture of compliance within the organization. Key

Responsibilities:

Compliance Monitoring: Conduct real-time monitoring of trading activity across all asset classes to ensure compliance, detect irregularities, and manage risk effectively. Trading Limits Management: Oversee the monitoring of daily CAPAD trading limits and prepare monthly submissions to the JSE. Access Management: Handle the onboarding and offboarding of access to trading and back-office systems, ensuring compliance with internal protocols. Daily Checks: Perform daily checks to identify misdeals, outstanding allocations, faulty payments, and incorrect journal entries, reporting any exceptions found. Compliance and AML Reviews: Conduct compliance and Anti-Money Laundering (AML) reviews on the stockbroking division, ensuring adherence to regulatory requirements and internal policies. Root Cause Analysis: Analyze the root causes of any compliance breaches and recommend preventative measures to mitigate future risks. Reporting: Report on business risks and compliance matters to the Board and Executive Committee (Exco) and escalate issues of non-compliance as necessary. Communication: Relay relevant JSE Market Notices and communications to staff, ensuring they are informed of important updates. Regulatory Liaison: Maintain close working relationships with exchanges and relevant regulatory bodies, ensuring effective collaboration on compliance matters. Policy Development: Keep compliance policies updated and effectively communicate changes to staff. Client and Supplier Reviews: Review client and supplier accounts to ensure compliance with the Financial Intelligence Centre Act (FICA). Ad Hoc Tasks: Handle various ad hoc queries and tasks as required, contributing to a proactive compliance environment. Required Experience: Approximately 7 years of experience in a compliance role within financial services, with a focus on stockbroking. Strong knowledge of relevant legislation, including FICA and the Prevention of Organized Crime Act (POCA). Solid understanding of financial instruments, particularly Fixed Income and Derivatives. Familiarity with FAIS monitoring and stockbroking operations. Experience with local and international settlements and operations. Required Qualifications: A BCom, B.Compt, BSC, LLB, FRM, or equivalent qualification is essential. Key Competencies: Analytical Skills: Strong ability to collect, research, and process data effectively to develop efficient compliance processes. Problem-Solving: Proficient in identifying and resolving problems promptly while providing viable solutions. Interpersonal Skills: Excellent verbal and written communication abilities to engage effectively with various stakeholders. Team Player: Demonstrates a positive attitude, contributing to a collaborative team environment. Deadline Driven: Capable of managing multiple tasks and meeting deadlines, especially under pressure. Quality Management: Committed to improving and promoting quality standards, demonstrating accuracy in all tasks. Why This Role? This position offers an exceptional opportunity to join a leading stockbroking team, providing significant exposure and challenges in the Risk and Compliance arena, while contributing to the overall integrity of financial operations.
Jse Risk And Compliance Officer | Cape Town position available in Western Cape, Cape Town. This job position was posted by The Recruitment Council. The job has been posted as a premium ad on 2025-03-17 at 13:49:24 in the Professions category

Click Go Apply to apply online!

View Job  Cape Town: Debtors Clerk posted by Isilumko Staffing

You might also like these jobs in the same area.

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Browse Professions Jobs

Browse The Recruitment Council Jobs

Apply directly for this position. Please read all instructions carefully.

We do not process job applications; we simply aggregate and display job listings.

More related positions

Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Job Title: JSE Risk and Compliance Officer Location: Westlake, Cape Town Reporting Line: Chief Operating Officer Job Summary: The JSE Risk and Compliance Officer plays a critical role in ensuring that the organization adheres to all applicable legislation,


View Job
Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Purpose of the role Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies and procedur


View Job
Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Cape Town posted by The Recruitment Council

Purpose of the role Reporting to the COO, this role is responsible for ensuring compliance with applicable legislation, including JSE and A2X Exchange Rules & Directives, as well as assist the Board to ensure adherence to internal policies and procedur


View Job
Jse Risk And Compliance Officer | Cape Town

Cape Town: Jse Risk And Compliance Officer | Westlake posted by The Recruitment Council

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 adher

View Job  Western Cape: Junior Credit Analyst posted by Communicate Finance

View Job
Jse Risk And Compliance Officer | Westlake

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Posted in Jobs in Cape Town, Jobs in Western Cape

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