Job Description

A financial services company that drives prosperity through market momentum is looking for an Enforcement Specialist who will play a crucial role in monitoring and enforcing regulations and rules set by the organisation. You will assist the Enforcement Manager in ensuring compliance with the Financial Market Act, mitigating risks, and safeguarding the reputation and integrity of the institution.Minimum Requirements for the Job:

• Bachelors degree in commerce or law (BComm or LLB) and Certified Fraud Examiner (CFE) qualification.
• 1-3 years of experience in capital markets and 1-3 years of experience in complex financial and sensitive investigations.

Key Responsibilities:

• Stakeholder Experience: Maintain professionalism in regulatory interactions, assess stakeholder feedback, and ensure alignment with company values.
• Assistance to Member Application and Onsite Review Teams: Support due diligence processes, identify individuals requiring further investigation and assist with onsite reviews.
• Enforcement: Investigate alleged breaches of organization rules, produce enforcement reports, and manage workload efficiently.
• Client Complaints and Disputes: Facilitate resolution of disputes, acknowledge and respond to complaints timely, and ensure all matters are addressed within agreed timeframes.

Key Competencies:

• Managing Work: Efficiently manage time and resources to ensure tasks are completed effectively.
• Decision Making: Identify issues, compare data, and take action consistent with available facts.
• Initiating Action: Proactively take prompt action to achieve objectives.
• Communication: Clearly convey information through various media to engage and inform stakeholders.
• Quality Orientation: Pay attention to detail and ensure tasks are completed accurately.
• Applied Learning: Assimilate and apply new job-related information promptly.

Apply online today!

Edge Executive