Job category: Banking, Finance, Insurance. Stockbroking Contract: Permanent Remuneration: Market Related EE position: Yes Introduction To manage onsite reviews and desk base monitoring as well as to oversee the JSE role in assisting the FSB (Financial Services Board) in discharging their supervisory obligation in respect of the FICA (Financial Intelligent Centre Act) in order to ensure regulatory compliance of JSE members. Maintain a professional approach towards regulatory interactions with the member firms in order to promote the JSE reputation as a trusted, respected regulator Ensuring that all interactions with member firms, internal and external stakeholders is professional and does not tarnish the good reputation of the JSE. Building relationships with colleagues, peers and staff by using appropriate interpersonal styles Interacting in a way that promotes openness and trust and gives them confidence in one’s intentions. Always Communicating with honesty and integrity. Establish working relationships with officials at the FIC and FSCA to the extent possible. Deepen knowledge of the JSE rules and directives for all the markets and develop industry level appreciation of the role of the JSE and Market Regulation. Ensure that communication with members is consistent and uphold the JSE values at all times. Protect and grow core business: Member Firm Reviews Assess member compliance with the Act and the rules in relation to the provision of securities services by conducting on-site reviews at the relevant member firms by: Ensuring the on-going identification of the higher risk areas across all markets. Assess whether the member firms FICA and AML procedures meet our minimum requirements. Ensuring that member review work is completed to the highest quality/standards. In addition, strive to ensure that work deadlines are achieved. Ensuring that a report is issued for all the reviews that have been performed and that the member understands and acknowledges the content of the report. In addition, formally follow up with the member to ensure that required actions have been addressed Ensuring that member reviews are well planned and ensure that there are no unnecessary delays when onsite, that may result in wastage of resources. Ensuring that member understands and acknowledges content of report as well as the prescribed timelines for written responses by the member firm. Ensuring the compilation of draft plan for the following year's work schedule and liaise with line manager regarding the review selection and planning to ensure that appropriate member firm coverage is achieved. Ensuring the development and enhancement of the review procedures on a continual basis to ensure that members reviews are conducted according to best practices and in line with the latest auditing methodologies as well as any amendments and/or updates to the Act and the Rules. Transform the business: Staffing Lead and develop a small team through training and skills transfers to ensure that team members are appropriately skilled, effective, and motivated by: Coaching staff members to enable performance in line with agreed expectations. Sharing knowledge gained from work experience and from other sources with the team and foster a culture of continuous learning within the group. Being available to guide team members in the performance of their duties and assist in navigation through complex issues. JSE Values Growing together Connecting for Co-creation 3 years work experience in an auditing environment within the financial services sector, of which 1 year in a compliance environment and 1 year in the role of managing others #J-18808-Ljbffr