Location - Town / City Sandton
Job Summary
Job Summary
The primary responsibility of the Investigations and Enforcement Manager will be to conduct investigations into alleged breaches of the JSE Rules and Directives and to facilitate the preferring of charges and the taking of appropriate disciplinary action.
Responsibilities / Outputs Conduct investigations into alleged breaches of JSE Rules within budgeted time frames
Investigate circumstances and broker conduct in relation to unresolved client complaints where necessary
Perform analytical reviews
Document investigatory plan and approach
Gather evidence and prepare properly documented, indexed and cross-referenced working paper files so as to support, substantiate and corroborate regulatory decision making processes
Communicate with brokers orally and in writing and conduct recorded interviews as part of the evidence gathering process
Draw conclusions of investigations and provide advice and input to management on matters of guilt and censure
Draft written reports on investigations which include objectives, investigatory plan, work undertaken, results achieved, and conclusions
Management of a team, including performance management and resource planning
Work closely with the Legal Department in drafting and preferring charges to be heard by a Tribunal
Research and establish international precedents regarding enforcement action taken by leading global regulatory agencies
Prepare status reports on on-going investigations
Experience CA (SA) or similar qualification
Post graduate forensic qualification and / or forensic investigation experience, specialising preferably in capital markets and / or stockbroking
At least 3 years relevant post articles experience
In-depth knowledge of the JSE Rules and Directives, including the content, scope and function of the Securities Services Act
Knowledge of the workings of the cash and derivative markets of the JSE, including the pricing of derivative securities, trading, clearing, settlement and custody
Demonstrated assertiveness to deal confidently and appropriately with conflict situations and to be able to follow through with disciplinary action against relevant parties
A passion for capital markets
Ability to plan, prioritise, and coordinate
Analytical skills
Excellent report drafting skills
Problem solving skills
Excellent communication skills
Must work well under pressure
Skills
Responsibilities / Outputs Conduct investigations into alleged breaches of JSE Rules within budgeted time frames
Investigate circumstances and broker conduct in relation to unresolved client complaints where necessary
Perform analytical reviews
Document investigatory plan and approach
Gather evidence and prepare properly documented, indexed and cross-referenced working paper files so as to support, substantiate and corroborate regulatory decision making processes
Communicate with brokers orally and in writing and conduct recorded interviews as part of the evidence gathering process
Draw conclusions of investigations and provide advice and input to management on matters of guilt and censure
Draft written reports on investigations which include objectives, investigatory plan, work undertaken, results achieved, and conclusions
Management of a team, including performance management and resource planning
Work closely with the Legal Department in drafting and preferring charges to be heard by a Tribunal
Research and establish international precedents regarding enforcement action taken by leading global regulatory agencies
Prepare status reports on on-going investigations
Experience CA (SA) or similar qualification
Post graduate forensic qualification and / or forensic investigation experience, specialising preferably in capital markets and / or stockbroking
At least 3 years relevant post articles experience
In-depth knowledge of the JSE Rules and Directives, including the content, scope and function of the Securities Services Act
Knowledge of the workings of the cash and derivative markets of the JSE, including the pricing of derivative securities, trading, clearing, settlement and custody
Demonstrated assertiveness to deal confidently and appropriately with conflict situations and to be able to follow through with disciplinary action against relevant parties
A passion for capital markets
Ability to plan, prioritise, and coordinate
Analytical skills
Excellent report drafting skills
Problem solving skills
Excellent communication skills
Must work well under pressure
Skills
Demonstrated assertiveness to deal confidently and appropriately with conflict situations and to be able to follow through with disciplinary action against relevant parties
A passion for capital markets
Ability to plan, prioritise, and coordinate
Analytical skills
Excellent report drafting skills
Problem solving skills
Excellent communication skills
Must work well under pressure
Personality Traits Possess a strong work ethic
Self-starter
Team player
Professionalism
Self-motivation and initiative
Sense of urgency
Accuracy
Responsible and accountable
Maintaining the confidentiality of information gathered as part of daily activities
Work well with colleagues and share knowledge
Promoting the integrity of the JSE in all interactions with external parties
Equity Statement
Preference will be given to all Employment Equity (EE) candidates based on the JSE's commitment to transformation.
The JSE Limited ("the JSE") will endeavour, where possible, to allow for a minimum period of four weeks from the date of placing a recruitment advertisement. The four week period is applied at the sole discretion of the JSE and may be varied by the JSE at any stage in the recruitment process. The JSE reserves the right, in the event that the four week period is shortened, for whatever reason, to inform only such candidates (either internal or external) who have applied or have been interviewed for the position advertised. The JSE therefore encourages all potential candidates to apply as soon as a position is advertised
.
Apply Now
A passion for capital markets
Ability to plan, prioritise, and coordinate
Analytical skills
Excellent report drafting skills
Problem solving skills
Excellent communication skills
Must work well under pressure
Personality Traits Possess a strong work ethic
Self-starter
Team player
Professionalism
Self-motivation and initiative
Sense of urgency
Accuracy
Responsible and accountable
Maintaining the confidentiality of information gathered as part of daily activities
Work well with colleagues and share knowledge
Promoting the integrity of the JSE in all interactions with external parties
Equity Statement
Preference will be given to all Employment Equity (EE) candidates based on the JSE's commitment to transformation.
The JSE Limited ("the JSE") will endeavour, where possible, to allow for a minimum period of four weeks from the date of placing a recruitment advertisement. The four week period is applied at the sole discretion of the JSE and may be varied by the JSE at any stage in the recruitment process. The JSE reserves the right, in the event that the four week period is shortened, for whatever reason, to inform only such candidates (either internal or external) who have applied or have been interviewed for the position advertised. The JSE therefore encourages all potential candidates to apply as soon as a position is advertised
.
Apply Now