Compliance Officer (EE)

Successful incumbent will have a completed B.Com (Law) / (Accounting) coupled with 3-5 years compliance management experience, as well as Risk and Compliance short courses at NQF Level 6; as well as have passed the Derivatives Compliance Officer Examination as prescribed by the JSE; registration at the FIC to handle all potential reporting issues for Cash-threshold transactions and/or suspicious transactions is essential. Membership as a CPrac (SA) - Compliance Practitioner (SA) or CProf (SA) Compliance Professional (SA) and Occupational Certificate : Compliance Officer (NQF Level 6) will be an added advantage.

Duties include:
Distribute and implement SAFEX notices; compile and distribute the daily debt balance emails for SAFEX+YILED-X Clients; compile and distribute the current risk exposure report; prepare and distribute the daily Forex exposure report; monitor the Forex cash clients daily debit balances; communicate with Moonstone compliance and notify them of profile changes and updates for the license holder; open new client accounts on Nutron; amend fee structures; investigate and resolve client queries and complaints, update and maintain the complaints register; update and maintain client and trader data in counterparty report; ensure that the company complies with the provisions of the Financial Markets Act and the Rules and Directives of the JSE; report any contraventions of the Act, the Rules and Directives of the JSE or Board decision to the JSE Director : Market Surveillance; ensure that all clients are FICA compliant; ensure that all potential reporting issues for cash-threshold transactions and/or suspicious transactions are reported to the FIC; compile and distribute reports to management as requested, and compile and submit the quarterly compliance report and highlight any identified irregularities. Knowledge of derivative securities, agricultural derivatives and foreign commodity derivations; solid experience and understanding of anti-money laundering essential etc.