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Compliance Officer

Vacancy Details

Reference No.



Our client, a leading financial and services organisation is currently seeking for an individual to assume the role of Compliance Officer. The successful incumbent will be responsible for managing the organisation’s regulatory and compliance risks as well as develop and maintain an appropriate internal control framework.


  • Draft compliance reports.
  • Assist in compliance monitoring as required by regulations for all licensed entities.
  • Register and de-register regulatory officers.
  • Review all exchange registrations and de-registrations for officers and traders.
  • Monitor the BDA system for the JSE.
  • Sign-off on all changes for clients who trade on the JSE.
  • Inductions of new staff.
  • Maintain 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.
  • Assist with regulatory reviews, inspections and investigations.
  • Assist with the facilitation and co-ordination of Chinese Wall crossings.
  • Draft and maintain procedures manuals for all areas of the business.
  • Attend to voice recording playbacks.


  • Relevant BA or Bcom degree.
  • Must be in possession of equities, Bond and Bond ETP Compliance Officer Exams.
  • 5-7 years’ experience in a Compliance Department within an investment bank or financial institution.
  • Good knowledge of equities, interest rates, options, swaps, FRA’s, credit derivatives and other as it will be an added advantage.

Kindly note, if you have not heard from us within two weeks of your application please consider it unsuccessful.

Position Type


Work Level



Market Related


Banking/Finance And Investment

Salary Type



Cost To Company

Affirmative Action


Geographic Location

Gauteng - JHB North