Compliance Officer

**Client Summary:** Our client is an established and highly respected South African financial services brand renowned for offering comprehensive wealth management, stockbroking, and investment advisory solutions. Operating with an uncompromising commitment to client service and ethical standards, they foster an agile, professional environment where risk and compliance are integrated as vital strategic partners to business growth. **Job Description:** In this position, you will be formally appointed as the approved Compliance Officer across Category I, Category II, and JSE member operations. Working in a tight\-knit, high\-caliber team and reporting directly to the Head of Legal and Compliance, you will play a pivotal role in maintaining regulatory excellence across trading, discretionary investment management, and asset\-backed credit facilities. This role offers significant visibility with senior leadership, executive committees, and regulatory bodies, providing a fantastic platform to showcase your regulatory expertise, influence governance, and advance your career in financial markets. **Key Responsibilities:** * **Regulatory Governance \& Advisory:** Deliver practical, solution\-oriented compliance advice to business units across Category I (JSE Member), Category II (Discretionary Investment Management), and specialized credit operations. * **Monitoring \& Oversight:** Perform ongoing prudential and market conduct monitoring to ensure full operational adherence to JSE rules, directives, and FSCA regulations. * **Regulatory Liaison:** Act as a key liaison with industry regulators and third parties, including the FSCA, JSE, NCR, and the Financial Services Ombud. * **Fit \& Proper Management:** Oversee the central and internal representative registers, profile updates, and competence registers to ensure full compliance with FAIS Fit \& Proper standards. * **Policy \& Framework Development:** Review and implement robust compliance policies that anticipate changes in legislation (including the CoFI Bill, FICA, POPIA, and JSE rule amendments). * **Complaints \& Dispute Resolution:** Draft formal, legally sound responses to Ombud complaints and client disputes. * **Board \& Committee Reporting:** Prepare high\-level compliance reports and highlight risk exposures directly to Exco and the Audit \& Risk Committee. **Must\-Haves (Essential for Consideration):** * **Education:** Completed BCom, LLB, or an equivalent relevant law/commerce degree. * **Regulatory Approvals:** Formally approved FSCA Compliance Officer in Categories I and II (RE 1 and RE 3\). * **JSE Approvals:** Qualified JSE Equity Compliance Officer, JSE Bond Compliance Officer, and JSE Derivatives Compliance Officer. * **Direct Experience:** Minimum of 4\+ years of proven compliance experience directly within a **JSE member business** and wealth management/investment environment (senior candidates are strongly encouraged to apply). * **Regulatory Expertise:** Comprehensive working knowledge of FAIS, JSE Rules and Directives, FICA, National Credit Act (NCR), TCF, POPIA, and FATCA/CRS. * **Communication:** Exceptional stakeholder relationship skills and high\-level written reporting capabilities. **Nice\-to\-Haves (Beneficial but not Mandatory):** * Admission as an Attorney of the High Court. * Completed Registered Persons Exams (RPE) across Financial Markets, Ethics, Derivative Markets, and Bond Markets (can be completed post\-joining). * Practical exposure to margin lending or share\-backed credit facilities under the National Credit Act.