JSE Compliance Offer/ Alternate Compliance Office (SAIFM)

SUMMARY:
Our client is seeking JSE Compliance Officer that will be responsible for embedding and promoting a culture of compliance for a reputable broker as well as provide assurance to relevant stakeholders regarding the level of compliance that is reached within the company.

POSITION INFO:

Identify, assess, manage and adhere to statutory, supervisory and regulatory requirements

Develop ongoing maintenance of a Compliance Monitoring Plan (CMP) and a Compliance Risk Management Plan (CRMP) 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 requirements

Identify and communicate current and anticipated compliance risks

Qualifications:

Registered Persons Examinations (SAIFM)

Regulation and Ethics of the South African Financial Markets

Introduction to the Financial Markets

The Derivatives Market

JSE Derivatives Compliance Officer Exam (SAIFM)

Contact STEPHANIE PAYNE on 021 -----, quoting the Ref: CTF013210.

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