Junior Compliance Specialist - Sandton - JSE Limited

Description

Job Category: Compliance, Security and Auditing

Contract: Permanent

Remuneration: Market Related

EE position: Yes

About Our Company

The JSE recognizes that its success and strength depend on the quality of its employees. We are committed to fostering a culture of continuous learning and high standards of performance. Our employee wellness program is designed to encourage work-life balance for employees. We naturally seek to empower staff and encourage diversity and opportunities for all.

Introduction

To support the Head of Compliance and other Compliance Specialists in executing compliance-related duties in order to provide the JSE Group with the assurance that relevant legislation, regulations and governance codes are adhered to and that operational vulnerabilities are avoided or mitigated.

Compliance Function

• Become familiar with the role that the JSE, its organisational units and its Regulators play in South Africa.
• Understand the need for Compliance and the role that the Compliance function plays within the organisation.
• Become familiar with the Compliance Manual in accordance with Compliance best practice and, where applicable, provide suggestions for changes/additional input.
• Provide input into the drafting of internal policies (both company wide and business unit specific).
• Assist in compiling the compliance universe and the identification of legislation and assigning the highest priority to the compliance risk with the highest impact.

Compliance Monitoring and Reporting

• Assist in the design and implementation of compliance dashboards and assist business to understand, own and manage their compliance obligations.
• Become familiar with compliance management information from the compliance universe and dashboards for reporting to the JSE Executive and Board Committees (Group Audit, Group Risk Management and Sustainability Committees, as appropriate).
• Research and keep abreast of emerging compliance risks and trends.

Training and Education

• Co-ordinate compliance training across the JSE Group.
• Assist in rolling out monthly Compliance training (Data and Cyber Security, amongst others) and reporting on progress made, and follow up on training that has not been completed.
• Identify and present compliance initiatives and campaigns.

Compliance Tools and Support

• Learn to operate the Compliance systems, Lexis and MyDisclosure.
• Become familiar with and assist in the maintenance of, input into and the provision of support to JSE employees and divisions in respect of the Compliance systems of the JSE, including but not limited to My Disclosure and Lexis Nexis and the KYC/FICA system of JSE Private Placements (Datanamix).
• Provide input into Compliance system enhancements.
• Maintain a register of JSE policies and track review dates of policies.

Regulatory Relations

• Maintain a register of all correspondence from and submissions to the regulatory bodies - FSCA and PA.

Stakeholder Relationship Management

• Engage with compliance subject matter experts and other compliance staff as and when required.
• Get involved in engaging with business to design and implement controls in respect of the logging and resolution of operational vulnerabilities.
• Assist in providing guidance and advice in respect of compliance matters to business, as and when required.

Compliance Framework

• Assist JSE Divisions and subsidiaries in respect of their compliance obligations - policy adherence, declarations and attestations.
• Assist in driving JSE initiatives to ensure that all JSE employees are familiar with JSE policies and the consequences of their non-compliance, through communication and guidance updates.

Compliance Culture

• Assist in defining and rolling out a compliance awareness programme to promote a strong code of ethics and integrity in the JSE.
• Assist in tracking of compliance action plans.

Self-Management

• Keep abreast of changes in compliance legislation or standards and industry knowledge by conducting research and utilising networks.
• Improve personal capability and professional growth as a company/industry/global thought leader, in line with JSE objectives, by discussing development needs and proposed solutions with management.
• Attend Compliance courses at CISA or other institutions to broaden knowledge of the Compliance function, such as GACP, FAIS, FICA, ABC, Conduct and Ethics, POPIA and Compliance Monitoring.
• Participate in knowledge sharing initiatives and conduct research to improve the compliance function.
• Assist in presenting compliance-related issues to employees across all levels in the JSE (contribute to interpreting confusing or abstract laws and determining how to establish and integrate best practice).
• Diligently seek to resolve compliance issues and breaches.
• Demonstrate ability to critically analyse situations and present possible solutions.
• Epitomise living the JSE values while displaying professional conduct.

Transformation and Innovation Contribution

• Analyse, research, develop and implement improvement/innovative ideas and value adding solutions contributing to divisional and JSE results.

Minimum Requirements

• Essential: Degree in finance, law or business.
• An LLB (Bachelor of Laws - Honours degree equivalent) would be an added advantage.
• Desirable: Compliance qualification - Certificate / Diploma in Risk, Compliance, Governance, Law.
• 1 – 2 years Compliance experience in financial services - Banking, Auditing or Regulatory fields.
• 1 – 2 years Specific experience in respect of one of the following: FAIS, FICA, ABC, Conduct and Ethics and POPIA Compliance.

Knowledge and Skills Required

• Ability to research compliance best practice and keep abreast of emerging compliance risks and trends.
• Building and maintaining effective relationships with internal and external stakeholders.
• Exposure to corporate/business principles.
• Knowledge of industry trends, market and compliance best practice.
• Resilience and ability to manage conflict situations.
• Ability to adapt to change.
• Basic MS Office Suite and MS Teams.
• Understanding the teams' roles and responsibilities to ensure compliance function continuity.