Jse compliance officer

Job Summary

To ensure the stockbroking business complies with the JSE Rules, Financial Markets Act (FMA), FSCA directives, FAIS requirements, and all other relevant legislation, while embedding a culture of compliance and risk awareness across the Stock‑Broking business. The Compliance Officer will act as the designated liaison with the JSE and regulators, ensuring adherence to exchange membership obligations and proactive identification and mitigation of compliance risks.

Regulatory Oversight & Monitoring Serve as the approved JSE Compliance Officer for the stockbroking business. Monitor changes in legislation, JSE Rules, and FSCA directives; assess impact and implement changes. Develop, maintain, and execute a compliance monitoring plan covering stockbroking operations, trading, and settlement. Conduct ongoing monitoring of transactions, systems, and processes to detect potential breaches or misconduct. Investigate compliance breaches and oversee corrective action plans. Mon...