Graduate Compliance/Operations Analyst x5

About

Description

This entry-level role supports the Compliance, Risk functions and Operations in a JSE-regulated stockbroking environment, spanning equities, fixed income, and derivative products. The role offers structed exposure to regulatory compliance, trade surveillance, and operational risk management across multiple asset classes, preparing the graduate for a career in compliance, risk, or front-office support functions.You will work closely with the Risk and Compliance Officer, Operations and front Office teams to help ensure adherence to regulatory frameworks (JSE Rules, FSCA requirements, FICA, POPIA, and international standards where applicable.

Responsibilities

• 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
• Support the preparation and submission of regulatory returns
• Assist with responses to compliance queries, audits, and inspections
• Track and communicate regulatory changes affecting equities, fixed income, and derivatives markets
• 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
• Support 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

Qualifications

• No experience required as this is a graduate role
• Bachelor’s degree in finance, Economics, Law, Business, Accounting, Risk, or Data Analytics
• Willingness to write JSE Compliance Officer Exams, SAIFM Introduction to Financial Markets, SAIFM Regulation and Ethics, Bonds Market and Derivatives Market
• Basic knowledge of equity, fixed income, and derivative instruments (shares, ETFs, bonds, interest rate swaps, FRAs, futures, options)
• Familiarity with compliance and risk principes such as market abuse surveillance, insider trading rules, and reporting standards
• Proficiency in MS Excel; exposure to data tools (Power BI, SQL, Python, Bloomberg) is an advantage

Application instructions:

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