Back-up Key Individual

Introduction

BROKSTOCK is a South African investment app that gives access to investments in shares, metals, ETFs, currencies and crypto. We are a licensed FSCA broker.

Key Responsibilities

• Provide robust governance oversight of our FSP intermediary activities.
• Ensure compliance with FSCA requirements, Conduct Standards, FICA/AML obligations, and market abuse regulations.
• Oversee risk management frameworks, including market, credit, liquidity, and operational risk controls.
• Manage the implementation and maintenance of effective policies, procedures, and internal controls.
• Supervise training programmes, ensuring all staff maintain regulatory competence.
• Review and approve marketing materials and client communications for regulatory compliance.
• Liaise with regulators, external auditors, and compliance functions.
• Step into the primary KI role when required, ensuring continuity of governa...