Manager - Market Conduct at First Group

Job description

• Ensure ongoing market conduct risk management in respect of all of the Acts as mentioned above, in relation to:
• Programme Management
• Set a clear strategy and franchise deliverables in respect of the investment, asset management and wholesale market conduct programme covering key elements in relation to: conduct, platform, monitoring and evaluation.
• Advisory & Policy
• Draft and implement appropriate internal policies, minimum standards, guidance notes risk management plans and toolkits.
• Provide ongoing and accurate advice to internal stakeholders, including the drafting of internal opinions and the ability to understand and correctly apply complex legislative rules to internal business procedures and controls.
• Assist to identify key risk metrics, in collaboration with business stakeholders.
• Assist with the development and implementation of new procedures, controls and programmes for the Group, in response to new legislative requirements.
• Monitoring and reporting
• Implementation and management of appropriate monitoring plans, in accordance with legislation as relevant to the license type, as well as in accordance with internal reporting timelines and committee dates.
• Oversight and management to ensure that all internal and external regulatory reporting obligations are discharged and that all license fees and levies are paid by prescribed deadline dates.
• External stakeholder management
• In collaboration with franchise Heads of RRM and business stakeholders:
• Co-ordinate internal discussions in relation to key issues of concern including addressing interpretative differences prior to engaging with industry bodies and regulators.
• Prepare Group comment and position papers, as necessary in response to draft legislation.
• Represent the Group at industry and regulatory meetings on FMA, OTC, FAIS and other Codes of Conduct, CISCA and Pension Funds.
• Internal stakeholder management
• Consult with, support and engage collaboratively with internal franchises to ensure that market conduct programme deliverables are met and that the internal control framework suffices to address conduct risks.
• General
• Maintain up to date knowledge of the Financial Markets Act, JSE rules, CISCA, Pension Funds Act, FAIS and applicable Codes of Conduct