JSE Compliance Officer

Empowering Africa’s tomorrow, together…one story at a time.

With over 100 years of rich history and strongly positioned as a local bank with regional and international expertise, a career with our family offers the opportunity to be part of this exciting growth journey, to reset our future and shape our destiny as a proudly African group.

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.

• 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.
• Monitor and interpret JSE Rules, Directives, and circulars relevant to stockbroking.
• Ensure compliance with the Financial Markets Act, FAIS, FICA, and related legislation.
• Act as the official JSE-registered Compliance Officer for the business.
• Prepare and submit compliance returns and regulatory reports to the JSE and FSCA.
• Liaise with the JSE, FSCA, SARB, and other regulators as needed.
• Report compliance breaches, incidents, and remediation actions to senior management and the Board.
• Develop compliance risk management plans (CRMPs), maintain regulatory inventories, and process JSE.

• Draft, implement, and update compliance policies and procedures aligned with JSE membership obligations and Group frameworks.
• Ensure compliance risks are identified and reported to the Board, Audit & Risk Committee, and management.
• Support internal and external audits, addressing findings promptly.
• Maintain accurate compliance records and registers as required by JSE.
• Provide compliance guidance to business units, brokers, and management.
• Conduct compliance risk assessments and thematic reviews.
• Develop and maintain compliance monitoring programmes aligned to regulatory requirements.
• Develop, implement, and review compliance policies and procedures.
• Conduct ongoing compliance monitoring activities, participate in special projects, and conduct investigations on suspicious activity and/or market abuse.
• Ensure alignment with Group Compliance frameworks (if applicable).
• Support internal and external audit processes and address findings.
• Conduct analysis to identify major issues and actionable opportunities, design solutions, and quantify financial impact.

• Provide expert compliance advice to senior management, traders, brokers, and support teams.
• Partner with business leaders to embed Treating Customers Fairly (TCF) and market conduct standards.
• Guide the design of new products, processes, and trading initiatives to ensure compliance is built in upfront.
• Advise on conflict of interest, insider trading, AML, and market abuse risks.
• Provide real-time regulatory advice and decisions in high-pressure situations.
• Prepare advice and guidance on regulatory and firm policy issues, and alert management on any risk.
• Participate in industry forums, report regulatory developments to relevant committees, and support strong regulatory relationships.

• Design and deliver compliance training for brokers, support staff, and executives.
• Run workshops on JSE Rules, FICA/AML, FAIS, and ethical conduct.
• Champion a compliance culture where colleagues understand accountability and customer-first conduct.
• Deliver compliance training to staff, with emphasis on JSE Rules, market conduct, AML/CTF, and Treating Customers Fairly (TCF).
• Drive a culture of ethical trading, market…