Global Markets Compliance Manager

FirstRand; Johannesburg; On-site; ZAR 60 000 - 90 000; Full time

Job summary

A leading financial institution in Johannesburg is looking for a compliance advisor to support regulatory compliance within Global Markets. The role involves providing risk-based regulatory advice, monitoring governance processes, and collaborating with compliance teams. Candidates should have a strong background in compliance and regulatory frameworks, with at least 5 years of relevant experience. An ideal candidate will also possess a diploma in compliance or risk management and relevant certifications. A commitment to personal development and ethical practices is essential.

Qualifications

• 5+ years in Compliance, Risk, Regulatory, Audit or a similar environment.
• All six JSE exams, FAIS RE1 & RE3 preferred.
• Professional membership with Compliance Institute SA is an advantage.

Responsibilities

• Provide risk-based regulatory advice and educate the business on requirements.
• Monitor adherence to legal and policy requirements.
• Conduct oversight reviews and report on compliance.

Skills

Regulatory analysis

Risk management

Compliance advisory

Governance oversight

Analytical skills

Education

Diploma in Compliance, Risk Management, or related field

Bachelor’s degree in Legal, Compliance or Auditing

Job description

Overview

To provide proactive and practical regulatory compliance advisory support, governance oversight, and second line monitoring to RMB Global Markets, ensuring the business operates within applicable regulatory frameworks, internal policies and exchange rules. The role supports Global Markets through high quality regulatory interpretation, risk based guidance, and close collaboration with compliance teams across the Group. This includes strengthening the Global Markets control environment, monitoring adherence to regulatory and policy requirements, and contributing to consistent, effective management of compliance risks across trading, structuring, sales, clearing and settlement activities.

Responsibilities

Advisory

• Provide practical, risk‑based, regulatory efficient and commercially‑Aware regulatory advice, acting as a proactive, solution‑oriented self‑starter who balances regulatory expectations with Global Markets business needs.
• Educate the business on regulatory requirements, implications and expectations.
• Analyse emerging regulatory changes (including FMA, JSE, A2X, ODP, FAIS, POPIA, Conduct Standard for Banks) and support the business in implementing required changes.
• Provide compliance input into governance forums and key business committees.

Governance Oversight

• Ensure adherence to legal, regulatory, policy and governance requirements relevant to Global Markets.
• Support development and enhancement of governance processes and compliance procedures.
• Participate in risk forums and communities of practice to support Group‑wide compliance alignment.
• Provide regulatory input into compliance risk & control assessments, ensuring risks are identified and appropriately mitigated.
• Guide policy owners to ensure policies and controls across Global Markets reflect applicable regulatory requirements.

Monitoring

• Monitor Global Markets processes and controls using compliance methodology and minimum standards.
• Assess and report on compliance with legislation, exchange rules, internal policies and procedures.
• Conduct oversight reviews, escalate concerns appropriately, and track remediation.
• Ensure governance forums in Global Markets operate in line with required standards.
• Maintain documentation and evidence supporting monitoring results.

Global Markets–Specific Responsibilities

• Update and maintain Global Markets RMPs and the Risk Universe annually, ensuring meaningful contribution to drafting or revisions.
• Support consolidation of controls into a centralised Global Markets control library, ensuring control clarity, thematic grouping and consistency.
• Review Global Markets compliance policies annually, update where required and obtain governance approval; implement regulatory codes and standards including algorithmic trading and conduct requirements.
• Create, maintain and iteratively expand a Global Markets compliance procedures repository, ideally in a Wiki or shared knowledge platform.
• Coordinate regulatory onsite reviews, ensuring high‑quality submissions and aiming for clean outcomes.
• Assist in designing, updating and implementing compliance training for Global Markets employees, and escalate non‑completion issues.
• Ensure quality control of all documents submitted to regulators or Global Markets Exco, including content and formatting peer reviews.
• Drive compliance and risk reporting at desk‑level and Exco‑level; refine dashboards and reporting outputs to enhance risk identification, remediation and ownership.
• Collaborate closely with Group Compliance teams to align interpretation, monitoring and governance approaches across Global Markets.
• Handle stress in ways that do not negatively impact others
• Plan and manage own workflow anticipating obstacles, juggling priorities and following through on objectives within agreed time frames and according to quality standards
• Take ownership of personal career development, leveraging formal and informal opportunities
• Read situations and organisational realities
• Set aside personal agenda for the greater good
• Act in an ethical, transparent and morally defensible manner including highlighting unethical practices
• Share, debate and communicate learnings
• Flag and debate issues constructively
• Promote a friendly and cooperative climate

Qualifications & Candidate Profile

• Diploma in Compliance, Risk Management, or related field.
• Bachelor’s degree in Legal, Compliance or Auditing preferred
• All six JSE exams, FAIS RE1 & RE3, and/or all STRATE Compliance Officer exams are preferred. If not currently held, a firm commitment to write and pass these will be required.
• 5+ years in Compliance, Risk, Regulatory, Audit or a similar environment.
• Professional membership with the Compliance Institute SA (CISA) is an advantage.
• Banking / broker / financial services, specifically Global Markets
• You will have access to opportunities to network and collaborate, challenging working, opportunities to innovate
• We can be a match if you are curious & courageous, obsessed with mastery, and client‑focused

Application Details

Take note that applications will not be accepted on the below date and onwards; kindly submit applications ahead of the closing date indicated below: 04/02/26. All appointments will be made in line with FirstRand Group’s Employment Equity plan. The Bank supports the recruitment and advancement of individuals with disabilities. Candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless required by law to disclose to other parties.