JSE Compliance Officer and Operations

A reputable broker, is currently seeking an individual to assume the role of Compliance Officer. The successful incumbent will be responsible for embedding and promoting a culture of compliance within the organisation, as well as, providing assurance to relevant stakeholders regarding the level of compliance that is reached within the organisation. Responsibilities:
 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.

A completed JSE Derivatives Compliance Exam required

Must have Stock Market experience