Job title: JSE Compliance Specialist
Job type: Permanent
Emp type: Full-time
Industry: Financial Services (Asset Man, Wealth & Other)
Expertise: Legal, Risk & Compliance
Salary type: Annual
Location: Johannesburg
Job published: 22-04-2020
Job ID: 34437
Contact name: Brylea Purnell
Phone number: 021 555 4402
Contact email:

Job Description

An established financial services business is looking for an experienced Compliance Specialist to join their team. 
This person will be responsible for promoting an appropriate Compliance culture to assist the company to remain compliant with: FMA, FSR,
FICA, Insurance Act, POPI, JSE, and associated obligations, Risk & Compliance policies and procedures.
  • B Com, B Com (Law), LLB or equivalent degree
  • Must be registered with the FSCA as an approved Category 1 Compliance Officer and have passed JSE Equity Compliance exams
  • Regulatory and Financial crime compliance
  • Knowledge of Financial Markets Act, Insurance Act and Protection of Personal Information Act
Key Responsibilities: 
  • Advising on compliance matters
  • Compile Quality Compliance Risk Management Plans
  • Reporting, reporting of the level of compliance to each applicable Act, to operational management and the Head of relevant business units
  • Issue Tracking, maintenance of the issue tracking database
  • Training, preparing on-line compliance training programme for all staff in the relevant business units
  • Managing breaches and risk exposures, corrective action
  • CURA updating
  • Ensure JSE Registered Officers are registered, de-activated, suspended or details updated as required.
  • Maintenance of user access list on the BDA system for the JSE.
  • Assist with JSE Surveillance queries and other queries from regulators.
  • Assist with regulatory reviews, inspections and investigations.
  • Compliance Inductions of new staff.
  • Compile a draft compliance report for submission to the risk and management committees based on information obtained and submit same to the Head of Compliance for review and finalization 

EE candidates will be given preference