73 Ocean Street, New South Wales 2000, SYDNEY

Contact Person: Callum S Ansell
P: (02) 8252 5319


22 Guild Street, NW8 2UP,

Contact Person: Matilda O Dunn
P: 070 8652 7276


Genslerstraße 9, Berlin Schöneberg 10829, BERLIN

Contact Person: Thorsten S Kohl
P: 030 62 91 92

JSE Compliance Offer/ Alternate Compliance Officer

  • Cape Town branch
  • Salary:
    280 - 380K
  • Qualifications Required:
    JSE Derivatives Compliance Officer Exam (SAIFM)
  • Experience Required:
    Min 2 years JSE Compliance experience within a Stockbroker

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.
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
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.

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