Compliance Officer - Stockbroking industry required

Recruiter:

Belmar Personnel

Job Ref:

Compliance Officer

Date posted:

Tuesday, July 27, 2021

Location:

Johannesburg, South Africa

Salary:

350 - 400K

SUMMARY:
Compliance JSE Officer

POSITION INFO:

ï‚· Identify, assess, manage and adhere to statutory, supervisory and regulatory requirements.
ï‚· Develop ongoing maintenance of a Compliance Monitoring Plan (CMP) and a Compliance Risk Management Plan (CRMP) for the organisation.
ï‚· Maintain the regulatory universe and regulatory reporting dashboard.
ï‚· 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.
ï‚· Highlight to senior management all concerns arising from failure of controls that could result in regulatory issues
ï‚· Conduct monitoring within the organisation on the impact of legislation, regulation and regulatory practice notes on the business per the annual Compliance Monitoring Plan.
ï‚· Compile monitoring reports following reviews and discuss findings and recommended action plans

1. Registered Persons Examinations (SAIFM):
1.1. Regulation and Ethics of the South African Financial Markets;
1.2 Introduction to the Financial Markets;
1.3 The Bond Market; and
1.4 The Derivatives Market.
2. JSE Derivatives Compliance Officer Exam SAIFM

NB! This job is now closed. You can apply for other jobs by uploading your CV.

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