Compliance Officer

SUMMARY:
A reputable broker is currently seeking an individual to assume the role of Compliance Officer in the Southern Suburbs CPT.

POSITION INFO:

Minimum requirements:

1. JSE Derivatives Compliance Officer Exam (SAIFM)
2. Registered Persons Examinations (SAIFM)

    2.1. Regulation and Ethics of the South African Financial Markets
    2.2 Introduction to the Financial Markets
    2.3 The Bond Market
    2.4 The Derivatives Market

3. Previous experience as a Compliance Officer

Duties:

•  Identify, assess, manage and adhere to statutory, supervisory and regulatory requirements.
•  Develop ongoing maintenance of a Compliance Monitoring Plan  and a Compliance Risk Management Plan for the organisation.
•  Maintain the regulatory universe and regulatory reporting dashboard.
•  Develops, initiates, maintains, and revises policies and procedures related to activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the compliance program.
•  Highlight to senior management all concerns arising from failure of controls that could result in regulatory issues
•  Conduct monitoring within the organisation on the impact of legislation, regulation and regulatory practice notes on the business per the annual Compliance Monitoring Plan.
•  Compile monitoring reports following reviews and discuss findings and recommended action plans with the relevant divisions within the organisation. Keep senior management informed of the status of the compliance environment.
•  Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures.
•  Assist with daily tasks as well as training, revision of and input on Compliance training materials.
•  Provide Compliance support for all divisions within the organisation with advisory services, regulatory risk assessments and monitoring.
•  Keep abreast of and, if necessary, research legislation, regulations and regulatory practice notes in order to provide an effective Compliance function.
•  Comply with governance in terms of legislative and audit requirement

Please apply on Executive Placements or our website.

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