Gov Worker
Join a dynamic and innovative financial institution as a Securities Compliance Officer, where you will be responsible for ensuring the effective implementation and maintenance of all regulatory requirements and compliance controls. As a critical member of the Compliance and Risk Management team, you will play a key role in identifying, assessing, and mitigating risks associated with trading activities, investment products, and market transactions. This position offers an exciting opportunity for a seasoned compliance professional to contribute to our continued growth and success in the competitive South African market.
Key Responsibilities
Some of the key responsibilities of the Securities Compliance Officer include:
- Identifying and assessing potential regulatory risks and developing mitigation strategies to minimize exposure.
- Conducting regular reviews and audits of trading and investment activities to ensure compliance with regulatory requirements.
- Developing and maintaining written procedures and policies to guide compliance with regulatory requirements.
- Providing guidance and training to employees on securities compliance matters.
- Staying up-to-date with changes in regulatory requirements and implementing necessary changes to maintain compliance.
Minimum Requirements
To be considered for this role, candidates must meet the following minimum requirements:
- Degree in Law, Financial Services, or a related field.
- At least 5 years of experience in securities compliance, regulation, or a related field.
- Strong knowledge of securities regulations, including those of the Financial Sector Regulation Authority (FSRA), the Johannesburg Stock Exchange (JSE), and other relevant regulatory bodies.
- Excellent analytical, problem-solving, and communication skills.
- Ability to work effectively in a fast-paced, dynamic environment.
Key Skills and Attributes
The ideal candidate will possess the following key skills and attributes:
- Strong analytical and problem-solving skills, with the ability to identify and assess potential regulatory risks.
- Excellent written and verbal communication skills, capable of explaining complex regulatory requirements to both technical and non-technical audiences.
- Strong attention to detail, with the ability to identify and correct errors.
- Excellent organizational and time management skills, with the ability to prioritize tasks and meet deadlines.
- Ability to work effectively in a team environment, with a collaborative and proactive approach to resolving issues.
- Strong knowledge of industry-standard compliance software and tools.
Working Environment and Conditions
The Securities Compliance Officer will work in a dynamic and fast-paced environment, reporting to the Head of Compliance and Risk Management. The role will require regular collaboration with various business units and departments, as well as occasional travel to attend regulatory meetings and training sessions. Maintaining a high level of physical and mental fitness, along with strong emotional intelligence and adaptability, will be essential.
Duties
In addition to the responsibilities listed above, the Securities Compliance Officer will be expected to:
- Maintain accurate and comprehensive records of compliance activities, including audits, reviews, and training.
- Develop and implement procedures for monitoring and controlling compliance risks.
- Conduct periodic reviews of compliance policies, procedures, and training to ensure they remain effective and relevant.
- Participate in industry conferences, seminars, and training sessions to stay up-to-date with industry developments and best practices.
Benefits
The Securities Compliance Officer will be offered a comprehensive compensation package, including:
- A competitive salary and benefits package.
- Opportunities for professional growth and development.
- A dynamic and supportive work environment.
- Access to industry-standard compliance software and tools.
- A team-oriented and collaborative work environment.
- The opportunity to work with a leading financial institution and contribute to its continued success.