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Regulatory Compliance Specialist

3 months ago

Johannesburg, Gauteng, South Africa Nedbank Full time

Job Classification

  • Job Family
  • Risk, Audit & Compliance
  • Career Stream
  • REGULATORY COMPLIANCE
  • Leadership Pipeline
  • Manage Self Professional
  • FAIS Affected
  • FAIS Affected
  • Yes
    Job Purpose
  • Provide advice, guidance, recommendations on the adherence of regulatory compliance practices in client facing divisions (1st line) ensuring compliance regulatory risks are identified, assessed, and reported on for Nedbank. Be a trusted advisor to 1st line but maintain independence of mind as part of 2nd line.

Responsibilities:

  • Identify and manage all Regulatory requirements within WMSA Division
  • Manage the completion of all commentary and/or impact assessments request from various Regulatory bodies.
  • Provide expert guidance and recommendation and ensure our adherence to multiple regulations.
  • Demonstrate in depth understanding of key legislations such as FAIS Act, POPIA, FIC, Conduct Standards, EXCON Regulations, JSE, Trusts, Wills, Estates, and other applicable laws that impacts the bank.
  • Conduct compliance regulatory training, keeping Compliance and all internal stakeholders (1st line) informed and updated on regulatory changes and policy requirements.
  • Assess all CRMP's drafted by the Business Unit Compliance Officers prior to approval stage.
  • Build and maintain trusted relationships with internal stakeholders (i.e., the Division's 1st line as well as 2nd line functions such as risk, AML and legal and 3rd line being audit) by establishing effective partnerships to identify and manage compliance regulatory risks.
  • Develop and maintain a clear understanding of the scope and nature of the business conducted by 1st line (business acumen).
  • Develop a solid understanding of all highrisk legislation that applies to the Division.
  • Keep abreast of all regulatory developments/changes that may potentially impact WMSA division and engage with all relevant stakeholders on a timely basis to ensure business readiness and ongoing compliance risk management.
  • Contribute to the creation of a compliance culture and compliance awareness in the division by becoming a trusted advisor to 1st line (whilst maintaining independence of mind as part of 2nd line).
  • Execute on all Regulatory Compliance projects (endend) within set timelines.
  • Provide advice, guidance and recommendations to 1st and 2nd line on whether regulatory compliance requirements are met.
  • Ensure accurate and timely reporting on any noncompliance, the management of compliance risks, and the state of compliance in the division (1st line)
  • Provide advice, guidance, and recommendations to stakeholders on the state of regulatory compliance by reporting on how key risks are being managed, highlighting areas that require immediate attention and recommend corrective action to and by stakeholders.
  • Present potential compliance regulatory findings to stakeholders through formal engagement. Take an active part in all Regulatory Compliance governance.
  • Have a monthly oneonone engagement with each of your key stakeholders in 1st and 2nd line (e.g., business, risk team, legal team, AML)
  • Assist in filing regulatory reports to the respective regulators, keeping WMSA in good standing with regulatory bodies.

Job Responsibilities Continue

People Specification

  • Essential Qualifications
  • NQF Level
  • Advanced Diplomas/National 1st Degrees


 Preferred Qualification
  • Post graduate diploma in Compliance Risk Management
  • Legal Degree
  • 57 years' experience in regulatory compliance position (preferably in a bank) Essential Certifications Preferred Certifications Compliance Institute of South Africa (CISA) Minimum Experience Level 810 years' experience in risk management of which 5 years in a compliance related role.
    Technical / Professional Knowledge
  • Relevant regulatory knowledge
  • Risk management process and frameworks
  • Cluster Specific Operational Knowledge
  • Governance, Risk and Controls
  • Compliance reporting
  • Reputational risk management
  • Stakeholder management
  • Codes of Good Governance


 Behavioural Competencies
  • Decision Making
  • Influencing
  • Building Trusting Relationships
  • Managing Work
  • Quality Orientation
  • Stress Tolerance
- **_Please contact the Nedbank Recruiting Team at _