Compliance Officer- LEGMN32313


Our client is is a fully integrated international investment banking operation. It ranks as one of the top international banks, providing a wide range of products and services in investment, corporate banking and securities.

They are looking to employ a Compliance Officer to manage the legal, reputational and regulatory risk of the Bank’s businesses in South Africa.

Minimum Requirements

Graduate qualification (BA, Bcom or similar degree)
In possession of equities, Bond and Bond ETP Compliance Officer Exams
5-7 years’ experience in a Compliance Department within an investment bank /financial institution
Good knowledge of equities, interest rates, options, swaps, FRA’s, credit derivatives and other

Role Description

Drafting of Compliance reports
Assisting in Compliance monitoring as required by regulations for all licensed entities.
Registration and de-registration of regulatory officers.
Reviewing all Exchange registrations and de-registrations for officers and traders.
Monitoring of the BDA system for the JSE.
Compliance sign-off on all changes for clients who trade on the JSE.
Compliance Inductions of new staff.
Maintenance of user access list on the BDA system for the JSE.
Assist with JSE Surveillance queries and other queries from regulators.
Maintaining positive relationships with local regulatory financial services regulators.
Assisting with regulatory reviews, inspections and investigations.
Assisting with the facilitation and co-ordination of Chinese Wall crossings.
Drafting and maintaining procedures manuals for all areas of the business.
Attending to voice recording playbacks

City: Sandton

Salary: Market Related & Negotiable

Duration: Permanent