This role is responsible for ensuring compliance with all applicable legislation, including JSE and A2X Exchange Rules & Directives, and supporting the Board in adherence to internal policies and procedures.

Key Requirements:

• Successful completion of JSE Equities and Derivatives Compliance Officer exams
• Completion of SAIFM RPE exams, including Introduction to Financial Markets, Regulations and Ethics, The Bond Market, and The Derivative Market

Duties and Responsibilities:

• Monitor trading activity across asset classes to detect irregularities and manage risk
• Oversee CAPAD trading limits and ensure accurate submission to the JSE
• Manage onboarding and offboarding of access to trading systems for compliance
• Perform daily checks to identify misdeals, outstanding allocations, and other discrepancies, reporting exceptions
• Conduct compliance and AML reviews of stockbroking divisions, ensuring regulatory adherence and preparing reports
• Analyze and recommend preventative measures for compliance breaches
• Report business risks and compliance matters to the Board and Exco
• Communicate JSE Market Notices to staff and liaise with Exchanges and Regulatory Bodies
• Maintain an up-to-date compliance program and foster a culture of compliance within business units
• Ensure policies are updated and FICA compliance is met for client and supplier accounts
• Handle ad hoc tasks, liaise with regulators, and participate in BCP Testing
• Stay informed on legislative changes, engaging the business on compliance needs and proposing solutions
• Investigate and report compliance breaches, coordinating regulatory engagements
• Ensure all FAIS and other regulatory reporting is submitted within timelines.