Job Description

This is an exciting entry-level opportunity for graduates to join a leading JSE-regulated stockbroking environment. The role provides structured exposure to regulatory compliance, trade surveillance, and operational risk management across a diverse range of financial products including equities, fixed income, and derivatives. You will work alongside experienced Risk and Compliance Officers, Operations, and Front Office teams, gaining valuable experience in maintaining regulatory frameworks and ensuring adherence to financial market standards.

Duties and Responsibilities

Trade Surveillance & Regulatory Monitoring

• Monitor trade activity across equities, fixed income, and derivatives for anomalies, breaches, or suspicious transactions
• Support daily CAPAD trading limit checks and generate compliance alerts for review
• Assist in investigating exceptions or irregularities in trade flows and escalate where required
• Help maintain accurate logs for compliance reviews and regulatory reporting

Regulatory Reporting & Correspondence

• Support the preparation and submission of regulatory returns to JSE, FSCA, SARB
• Assist with responses to compliance queries, audits, and inspections
• Track and communicate regulatory changes affecting various financial markets

Client & Stakeholder Support

• Help verify and document KYC/FICA compliance during client onboarding
• Assist with broker-dealer and clearing member compliance checks
• Support the design and rollout of automated compliance checks and dashboards
• Conduct periodic reviews of client risk profiles and data integrity
• Liaise with Front Office, Operations, Settlements, and Technology teams to resolve compliance queries
• Assist in preparing compliance training materials for internal teams

Ideal Qualifications

• Bachelor’s degree in Finance, Economics, Law, Business, Accounting, Risk, or Data Analytics
• Willingness to write JSE Compliance Officer Exams
• Willingness to complete SAIFM Introduction to Financial Markets, Regulation and Ethics, Bonds Market and Derivatives Market certifications
• Basic knowledge of equity, fixed income, and derivative instruments (shares, ETFs, bonds, interest rate swaps, FRAs, futures, options)
• Familiarity with compliance and risk principles such as market abuse surveillance, insider trading rules, and reporting standards

Systems Knowledge

• Proficiency in MS Excel essential
• Exposure to data tools (Power BI, SQL, Python, Bloomberg) is an advantage

Experience Requirements

No prior experience required as this is a graduate development role. Comprehensive training will be provided to successful candidates.