Head: Compliance Oversight
2 weeks ago
Job Classification
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REQ:
Refilwe Falatsi:
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Closing Date: 25 August 2023:
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Division: Wealth Centre | Compliance:
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Employment Equity Statement:
Preference will be given to individuals from underrepresented groups
:
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NB: This role is a specialist role and it does not have a team reporting to this role.
- Job Family
- Risk, Audit and Compliance
Career Stream
- Regulatory Compliance
Leadership Pipeline
- Manage Managers
- FAIS Affected
Job Purpose - To assist the cluster compliance function with the coordination; facilitation and management of the Compliance function for the Wealth cluster through oversight and advisory, reporting and developing networks; providing advice to minimise regulatory; reputational and compliance risk and endeavor to avert potential litigations/ penalties
Responsibilities:
- Assist in promoting and executing the Wealth Cluster and Group wide compliance strategic initiatives.
- Assist the cluster / business unit's compliance function to set an annual budget.
- Provide guidance to relevant clusters with regard to compliance and monitoring risks by providing support or offering expert advice to compliance officers.
- Review reports and provide input for stakeholder engagements.
- Compile reports for the various governance forums and Exco
- Present findings and engage business on mitigation of compliance risks.
- Assist with providing direction and support to the compliance officers through alignment to the standards, processes and procedure and where possible identify and recommend opportunities for enhancements.
- Maintain effective internal and external stakeholder relationships and mutually beneficial partnerships.
- Promote coordination and collaboration with other assurance providers.
- Effectively and efficiently manage the team across the HR value chain including recruitment, performance management, retention of critical staff and succession planning.
- Motivate staff to perform and contribute to the success of the business by creating an environment of teamwork through engaging with staff (sharing information) and encouraging participation in decisionmaking processes.
- Keep abreast of developments in field of expertise, including legislation and other industry changes that impact on role Contribute to a culture of transformation by participating in Nedbank culture building initiatives, business strategy, and Corporate Social Initiatives (CSI).
- Support the Wealth Executive Head of Compliance and the Group Compliance function in entrenching and promoting a compliance culture and creating a compliance presence.
- Participate in developing, implementing and addressing issues raised in culture surveys to improve results.
People Specification
- Essential Qualifications
- NQF Level
- Advanced Diplomas/National 1st Degrees
Preferred Qualification
- An appropriate legal, commercial or other applicable degree
- Postgraduate Diploma in Compliance Management
- Preferred Certifications
- Compliance Institute of South Africa (CISA) preferred, not essential
- Minimum Experience Level 8+ years appropriate and relevant experience; at least 5 years Compliance experience in the Financial Services industry
- Work experience in wealth management, asset management and/or insurance will be an added advantage
- Managerial experience will be an added advantage.
Technical / Professional Knowledge - Change management
- Client service management
- Diversity management
- Employee training/development
- Financial Accounting Principles
- Governance, Risk and Controls
- Operations planning
- Principles of project management
- Relevant regulatory knowledge
- Strategic planning
Behavioural Competencies
- Decision Making
- Work Standards
- Applied Learning
- Communication
- Adaptability
- Driving for results
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