Senior Compliance Officer JSE

Introduction

Through our client-facing brands and our other specialist brands, Momentum Group enables business and people from all walks of life to achieve their financial goals and life aspirations.

We help people grow their savings, protect what matters to them and invest for the future. We help companies and organisations care for and reward their employees and members. Through our own network of advisers or via independent brokers and utilising new platforms Momentum Group provides practical financial solutions for people, communities and businesses.

The Senior JSE Compliance Officer plays a critical role within Momentum Securities, ensuring that the organisation meets its regulatory obligations as a JSE member while enabling sustainable business growth. The role requires a strong technical understanding of JSE Rules and financial markets regulation, combined with the ability to act as a strategic partner to the business, embedding compliance into decision-making and operational processes.

The incumbent will also be expected to drive the use of technology, data analytics, and AI-enabled solutions to strengthen compliance monitoring, enhance risk identification, and improve reporting efficiency across the business.

Disclaimer

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Role Purpose

The purpose of this role is to lead and embed a robust compliance framework that ensures effective identification, assessment, monitoring, and management of regulatory risks, with a specific focus on JSE requirements. The role provides strategic regulatory guidance to business units, ensuring that compliance is integrated into business initiatives while supporting innovation and growth within the boundaries of applicable regulations.

Requirements

• Matric (required)
• Relevant degree (e.g., LLB, BCom, BProc or equivalent) (required)
• FAIS Compliance Approval and Completion (or willingness to complete within 12 months) JSE-required examinations, including (required); o JSE Equity Compliance Officer o Equity Derivatives Compliance Officer o Bond Market o Derivatives Market o Introduction to Financial Markets o Regulatory and Ethics of the South African Financial Market
• Ability to translate regulatory requirements into practical business solutions
• Strong governance, risk, and control expertise
• Experience in engaging with regulators and senior stakeholders
• Proven leadership capability with the ability to influence decision-making at all levels
• Exposure to or experience in leveraging digital tools, data, and AI to improve compliance outcomes (advantageous)

Duties & Responsibilities

• Act as a strategic compliance partner, ensuring regulatory requirements are embedded in business decisions, product design, and operational processes
• Drive the adoption of technology, data analytics, and AI tools to enhance compliance monitoring, surveillance, and regulatory reporting
• Lead the development, implementation, and continuous improvement of the compliance framework aligned to JSE Rules
• Define and execute the annual Compliance Monitoring Plan, ensuring quality, independence, and completeness of reviews
• Ensure integration of compliance risk management into enterprise risk and governance frameworks
• Provide proactive regulatory guidance on business initiatives, ensuring compliance is built in from the outset
• Identify, assess, and escalate compliance risks, breaches, and control weaknesses, with clear mitigation strategies
• Provide assurance reporting to Executive and Board-level committees on compliance exposure and risk trends
• Drive effective remediation of audit findings, regulatory issues, and compliance breaches, ensuring sustainable solutions
• Oversee the preparation and submission of accurate and timely regulatory reports to the JSE
• Maintain strong, proactive relationships with regulators and represent the organisation during inspections and engagements
• Own and maintain compliance policies, frameworks, and registers, ensuring relevance and effectiveness
• Drive a strong compliance culture aligned to Treating Customers Fairly (TCF) principles
• Enable the business through training, guidance, and ongoing regulatory awareness initiatives
• Support business strategy by identifying compliance gaps and delivering practical, solution-oriented compliance advice
• Provide high-quality, timely reporting and feedback to stakeholders and governance forums

Competencies

• Strong understanding and application of JSE Rules and financial markets regulation
• Strategic thinking with the ability to balance regulatory and commercial considerations
• Advanced analytical and risk assessment capability
• High attention to detail and control evaluation skills
• Stakeholder engagement and influencing at senior levels
• Strong communication and report-writing capability
• Planning, prioritisation, and execution discipline
• Independent judgment with sound escalation awareness
• Collaborative and partnership-driven mindset
• Digital and innovation orientation, with interest in data, technology, and AI-enabled compliance