11 Best stockbroking jobs (Hiring Now!)

Showing results for stockbroking jobs

Search instead for jobs

Compliance Officer
Nedbank —Johannesburg, Gauteng
FSCA Regulatory Exam - RE 3 and RE 5. 3-5 years’ experience in compliance management is required. Become a member of the Compliance Institute of South Africa …
2d
Business Analyst
Sanlam —Tygervalley, Western Cape
Ability to write extract data for analysis. Ability to write extract data for analysis. Good understanding of the software development lifecycle, both waterfall…
3d
Fund Reconciliation Administrator
Sanlam —Tygervalley, Western Cape
Record keeping, filing and maintenance of databases. Script handling and compliance monitoring. Portfolio management query handling with clients.
3d
Actuarial Analyst | Waterfall, Johannesburg, Gauteng
PSG Konsult Ltd. —Waterfall, KwaZulu-Natal
A relevant tertiary qualification is essential –a bachelor’s degree (Actuarial science / Finance / Risk Management / Mathematics).
2d
Junior Portfolio Manager
Momentum Securities —Sandton, Gauteng
A minimum of 3-5 years' experience in financial markets. Analysing: Analyses numerical data, verbal data and all other sources of information.
3d
Full Stack Developer (JavaScript, CSS)
Sharenet —Cape Town, Western Cape
Sharenet offers is a complete range of financial products and solutions, from financial information, stockbroking, asset and wealth management to insurance.
Business Analyst | Waterfall, Johannesburg, Gauteng
PSG Konsult Ltd. —Waterfall, KwaZulu-Natal
Must be able to work under pressure. A proven track-record of successful delivery as a Business Analyst, Data Analyst and / or Subject Matter Expert in data…
Equity And Derivatives Trader
Momentum Securities —Sandton, Gauteng
Analytical thinking : Analyses numerical data, verbal data and all other sources of information. Perform general day-to-day administration for the derivative…
PSP Service Specialist (Temporary Position)
Momentum Investments —Centurion, Gauteng
3-5 years of experience in a share account administration role or similar role within the financial services industry.
3d
Experienced Financial Advisor
Sharenet —Cape Town, Western Cape
You will require at least 5 years' financial planning experience. Minimum of 5 years' financial planning experience. Experience using a CRM system preferable.
PSP Service Specialist
Momentum Investments —Centurion, Gauteng
3-5 years of experience in a share account administration role or similar role within the financial services industry.
3d

I want to receive the latest job alert for stockbroking

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Compliance Officer

Nedbank - Johannesburg, Gauteng

Apply Now

Job Details

2 days ago

Full Job Description

Job Classification

REQ: 135970 - Refilwe Falatsi
Closing Date: 23 September 2024
Division: Wealth Management SA | Compliance Officer
Employment Equity Statement: Preference will be given to Individuals from underrepresented groups.

Job Family

Risk, Audit and Compliance

Career Stream

Regulatory Compliance

Leadership Pipeline

Manage Self: Professional

FAIS Affected

Job Purpose

Provide advice, guidance, oversight, and assurance on the adherence to compliance practices in client facing divisions (1st line) to ensure compliance risks are identified, assessed, managed, and reported on for Nedbank. Be a trusted advisor to 1st line but maintain independence of mind as part of 2nd line.

Job Responsibilities

Operational responsibilities

Build and maintain relationships with internal stakeholders (i.e., the division’s 1st line as well as 2nd line divisional functions such as risk, AML and Legal and 3rd line being Internal Audit) by establishing effective partnerships to identify and manage compliance risks.
Develop and maintain a clear understanding of the scope and nature of the business conducted by 1st line (business acumen).
As part of 2nd line, engage with 1st line towards clarifying roles and responsibilities in the management of compliance risk i.e., risk identification, categorization, assessment, management (completing and maintaining Compliance Risk Management Plans - CRMPs) and monitoring.
Adopt and adhere to a risk-based approach in the management of compliance risk.
Develop a solid understanding of all high-risk legislation that applies to the Division.
Keep abreast of all regulatory developments/changes that may potentially impact the various business units and engaging relevant stakeholders on a timely basis to ensure business readiness and ongoing compliance risk management.
Contribute to the creation of a compliance culture and compliance awareness in the division by becoming a trusted advisor to 1st line (whilst maintaining independence of mind as part of 2nd line).
Execute on the agreed annual Compliance Coverage Plan for the division within set timelines.
Ensure compliance risks are managed by developing/updating the Compliance Risk Management Plans (CRMPs) on an annual basis across client facing business (1st line).
Provide advice and guidance to 1st line on compliance risks, controls, and possible contraventions, through formal and ad hoc monitoring and early detection.
Provide assurance to 1st line on whether compliance requirements are met, and adequate compliance risk management practices have been implemented.
Ensure accurate and timely reporting on any non-compliance, the management of compliance risks, and the state of compliance in the division (1st line)
Provide assurance to stakeholders on the state of compliance by reporting on how key risks are being managed, highlighting areas that require immediate attention and recommend corrective action to stakeholders
Present findings of compliance reviews to stakeholders through formal engagement
Comment on mitigating actions to be implemented by stakeholders through assessment of the adequacy thereof and recommend further corrective action (e.g. documenting policies and processes, etc.).
Take an active part in all relevant governance and other committees
Have a monthly one-on-one engagement with each of your key stakeholders in 1st and 2nd line (e.g., business, risk team, legal team, AML)

Management of self:

Complete all relevant internal training and refresher programmes.
Become a member of the Compliance Institute of South Africa (CISA) and engage in continuous professional development initiatives.
Improve personal capability and stay abreast of developments in field of expertise by identifying training courses and career progression for self through input and feedback from management.
Contribute to a culture conducive for the achievement of transformation goals by participating in Nedbank Culture building initiatives.

People Specification

Essential Qualifications - NQF Level

Advanced Diplomas/National 1st Degrees

Preferred Qualification

Post Graduate Diploma in Compliance Management
Legal Degree
FSCA Regulatory Exam - RE 3 and RE 5
CPrac (SA) - Compliance Practitioner designation from CISA; or
Occupational Certificate: Compliance Officer; or
Certificate in Compliance Management

Essential Certifications

FICA and FAIS other relevant compliance certification.
Compliance Institute of South Africa (CISA) - preferred, not essential

Preferred Certifications

Compliance Institute of South Africa (CISA) - preferred, not essential

Minimum Experience Level

3-5 years’ experience in compliance management is required.
Experience obtained in a compliance role in a stockbroking / financial planning / banking or wealth management environment will be advantageous.

Technical / Professional Knowledge

Change management
Cluster specific operations
Compliance reporting
Governance, Risk and Controls
Relevant regulatory knowledge
Relevant software and systems knowledge
Reputational risk management
Risk management process and frameworks
Stakeholder management
Codes of Good Governance

Behavioural Competencies

Decision Making
Influencing
Building Trusting Relationships
Managing Work
Quality Orientation
Stress Tolerance

Please contact the Nedbank Recruiting Team at +27 860 555 566

Apply Now

stockbroking jobs

Compliance Officer

Business Analyst

Fund Reconciliation Administrator

Actuarial Analyst | Waterfall, Johannesburg, Gauteng

Junior Portfolio Manager

Full Stack Developer (JavaScript, CSS)

Business Analyst | Waterfall, Johannesburg, Gauteng

Equity And Derivatives Trader

PSP Service Specialist (Temporary Position)

Experienced Financial Advisor

PSP Service Specialist

Job Seeker Tools

Employer Tools

Browse

Stay Connected