Compliance, Markets Compliance Officer, Senior Associate - Johannesburg - Goldman Sachs Bank AG

    Goldman Sachs Bank AG
    Goldman Sachs Bank AG Johannesburg

    2 days ago

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    Description

    Compliance, Markets Compliance Officer, Senior Associate / Vice President

    Located in Johannesburg, Gauteng, South Africa.

    This role is for an experienced Compliance Officer/Money-Laundering Reporting Officer at Associate level for the Johannesburg branch of a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments, and high-net-worth individuals.

    GLOBAL COMPLIANCE

    Our division prevents, detects, and mitigates compliance, regulatory, and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory, and reputational risk; monitors for compliance with new or amended laws, rules, and regulations; designs and implements controls, policies, procedures, and training; conducts independent testing; investigates, surveils, and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits, and inquiries.

    OVERSIGHT OF BUSINESS WITH THE FOLLOWING LICENCES:

    • FSCA Category 1 Licence activities
    • Primary dealing in the bonds of the Republic of South Africa
    • Authorised Dealer in foreign exchange
    • Financial Services Provider
    • OTC Derivatives Provider

    SKILLS AND EXPERIENCE WE'RE LOOKING FOR

    • Undergraduate degree
    • 5 years of relevant experience in a compliance department within a financial institution
    • Good knowledge of Bond ETP Market, Derivative Markets, and Interest Rate and Currency Markets
    • Have any of the following:
      • JSE Derivatives Compliance Officer Exam
      • JSE interest rate and currency market, Registered Persons Examinations modules: Regulation and Ethics of the SA Financial Market, Introduction to Financial Markets, The Bond Market
      • JSE interest rate and currency derivatives Registered Persons Examinations: The Derivatives Market
    • Good working knowledge/understanding of FAIS, FICA, JSE, FMA
    • Experience of interaction with FSCA, JSE, SARB, and FIC
    • Strong communication skills

    DUTIES AND RESPONSIBILITIES

    • Execute the firm's Compliance Programme, including risk assessments
    • Identify and escalate regulatory and/or reputational risk issues
    • Assist with surveillance queries
    • Assisting in Compliance monitoring as required by FMA, FAIS, FICA, and other financial market regulations
    • Reviewing all exchange registrations and de-registrations for officers and traders
    • Complaints handling
    • Maintenance of registers
    • High Risk monitoring/PEP and Sanction alerts
    • Monitoring and identifying changes applicable legislation
    • Regulatory training
    • Advising business on ad hoc queries
    • Assist with regulatory reviews, inspections, and investigations
    • Assist with the drafting of procedure manuals for all areas of the business
    • Draft and review policies and procedures applicable to the business of the branch
    • Develop and deliver required training on applicable compliance requirements
    • Identify, review and implement new regulations, through partnering with other stakeholders, including Legal, business, Operations, and others

    About Goldman Sachs

    We are a leading global investment banking, securities, and investment management firm. Our commitment is to help our clients, shareholders, and the communities we serve to grow. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond. Learn more about our culture, benefits, and people.

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