Enforcement Investigator Johannesburg - Johannesburg
CSG Resourcing
To assist the Enforcement Manager in monitoring and enforcing regulations and rules in line with the requirements of the Financial Market Act to mitigate risks and protect reputation and integrity. • Maintain a professional approach towards our regulatory interactions with member firms and other relevant stakeholders, promoting our reputation as a trusted, respected regulator. • Assess feedback received from internal and external stakeholders and member firms regarding the professionalism and timely nature of our interactions with them. • Ensure that our demonstrated behaviour aligns with our core values. • Assist the Member Application team in conducting due diligence on applicants. • Identify individuals that require further investigation and stop applications from proceeding. • Assist the On-site Review team with information related to breaches to be examined during the review. • Investigate alleged breaches of rules by members across all markets referred to the department by external and/or internal stakeholders. • Investigate cases of CAPAD breaches by members as referred to Enforcement by the CAPAD team. • Produce enforcement reports according to acceptable standards in relation to the investigations conducted. BComm or LLB and CFE. 1-3 years' experience in capital markets and 1-3 years' experience in complex financial and sensitive investigations.
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