JSE Risk and Compliance Officer | Cape Town

SUMMARY:
JSE Risk and Compliance Officer | Cape Town

POSITION INFO:

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.