Enforcement Specialist (Market Regulation)
Listing reference: jse_000536
Listing status: Online
Apply by: 19 August 2024
Position summary
Job category: Banking, Finance, Insurance. Stockbroking
Contract: Permanent
Remuneration: Market Related
EE position: Yes
About our company
WHY JOIN THE JSE? The JSE recognises 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 programme is designed to encourage work-life balance for employees. We naturally seek to empower staff and encourage diversity and opportunities for all.
Introduction
To assist the Enforcement Manager to monitor and enforce JSE regulations and rules in line with the requirements of the Financial Market Act to mitigate risks and protect JSE reputation and integrity.
Responsibilities
Partner for a sustainable marketplace: Stakeholder Experience
- Maintain a professional approach towards our regulatory interactions with the member firms and other relevant stakeholders which promotes our reputation as a trusted, respected regulator.
- Assess feedback received from the internal and external stakeholders and member firms regarding the professionalism and timeous nature of our interactions with them.
- Ensure that our behaviour demonstrated aligns with the JSE values.
Protect and grow core business: Assistance To Member Application And Onsite Review Teams
- Assist Member Application team in conducting due diligence on the applicant.
- Identify all individuals that require further investigation and stop applications from proceeding.
- Assist On-site Review team with information in relation to the breaches to be looked at during the review.
Protect and grow core business: Enforcement
- Investigate alleged breaches of the JSE Rules by the members across all markets that gets referred to the department by external and/or internal stakeholders.
- Investigate cases of CAPAD breaches by the JSE members as referred to Enforcement by the CAPAD team.
- Produce enforcement report according to acceptable standard in relation to the investigation conducted.
Protect and grow core business: Client Complaints And Disputes
- Facilitate resolution of disputes between a JSE member and clients in line with the provisions of the JSE Rules.
- Acknowledge receipt of complaint or enquiry within 48 hours, respond to the complainant/enquirer in respect of the way forward and/or next steps.
- Ensure resolution of bonafide complaints within 4 weeks of receipt or provide relevant feedback to the complainant if not in a position to resolve within 4 weeks as well provide as an indication by when a resolution is reasonably forthcoming.
- Follow up weekly on outstanding responses/matters and ensure that feedback is procured timeously, at least weekly, from all outstanding respondents.
- Ensure that work schedule is updated accordingly and timeously to further ensure that all annotations are the latest and most current assessment of events.
JSE Values
- Growing together
- Connecting for Co-creation
Minimum Qualifications
- BComm or LLB and CFE
- 1-3 years’ experience in capital markets and 1-3 years’ experience in complex financial and sensitive investigations
Knowledge and Skills
- Relevant regulatory knowledge
- Principles of project management
- Business continuity standard
- Data analysis
- International Standards for Professional Practice
- Research methodology
- Communicating complex information orally
- Completing a project with constraints
- Basic software applications (e.g., Outlook, Word, Excel, Access, Internet, Email)
#J-18808-Ljbffr
