Job Description
To uphold the integrity of financial markets and internal ethical standards by proactively monitoring and managing conflicts of interest, enforcing information barrier controls, and ensuring adherence to regulatory obligations across the business. This role serves as a central point of advisory within the Control Room through supporting business units and compliance stakeholders in the identification, escalation and resolution of sensitive compliance matters.
- Support the Control Room Head in implementing the control room strategy and upholding applicable compliance standards.
- Identify, assess, and manage perceived or actual conflicts of interest by reviewing transactions, deal teams, outside business interests, research, and gifts or entertainment.
- Investigate escalated conflicts and align resolution strategies with senior stakeholders across the business.
- Assist to develop and enforce Control Room policies, procedures, and service level standards, ensuring compliance with global regulatory requirements and best practices.
- Continuously monitor regulatory changes and update internal practices to reflect evolving compliance obligations.
- Ensure strict adherence to Chinese Wall protocols and safeguard against unauthorised sharing of material non-public information (MNPI).
- Review and approve barrier-crossing requests and chaperone sensitive communications between private and public sides where needed.
- Monitor and maintain watch and restricted lists, ensuring timely updates and accuracy to protect market integrity.
- Provide proactive compliance advisory to internal stakeholders and cross-functional teams on MNPI handling, conflict mitigation, and Control Room processes.
- Influence internal stakeholders across the bank to embed compliance culture and resolve high-impact ethical issues.
- Conduct investigations into suspected policy breaches, insider dealing, or market abuse, collaborating with legal and risk teams to ensure thorough reviews.
- Compile incident reports and regulatory disclosures as required.
- Assist to prepare risk and compliance reports to management, highlighting trends, control effectiveness, and emerging risks.
- Support regulatory audits and inspections with relevant documentation and analysis.
- Design and deliver compliance training initiatives to elevate staff awareness of Control Room protocols and regulatory duties.
- Promote ethical conduct and innovation by leveraging technology and data analytics in monitoring, reporting, and operational effectiveness.
- Foster strong partnerships across compliance, risk, legal, and governance functions to address complex challenges efficiently.
- Support operational consistency and quality across jurisdictions, enhancing the resilience of Control Room functions.
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Important Closing Date Note
Take note that applications will not be accepted on the below date and onwards, kindly submit applications ahead of the closing date indicated below.
15/09/26
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. In order for us to fulfill this purpose, candidates can disclose their disability information on a voluntary basis. The Bank will keep this information confidential unless we are required by law to disclose this information to other parties.