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Compliance Officer
2 weeks ago
Job Classification
REQ:
Refilwe Falatsi:
Closing Date: 15 March 2024:
Employment Equity Statement:
Preference will be given to individuals from underrepresented groups.
- Job Family
- Risk, Audit and Compliance
Career Stream
- Regulatory Compliance
Leadership Pipeline
- Manage Self: Professional
- FAIS Affected
Job Purpose - To monitor and provide assurance on the adherence to compliance practices in client facing clusters to ensure compliance risks are managed and reported across Nedbank.
Responsibilities:
- Monitor compliance risks and determine the state of compliance in client facing Clusters.
- Ensure compliance requirements are adhered to and adequate compliance risk management practices implemented.
- Execute the annual compliance riskbased program.
- Provide input, review and ensure accurate reporting and articulation of compliance.
- Provide guidance in the completion of subsidiary compliance risk monitoring programs.
- Provide advice and/or input to internal stakeholders on possible contraventions of compliance risks through early detection.
- Maintain relationships with internal stakeholders by establishing partnerships in managing compliance risks.
- Engage with stakeholders formally through determining scope of work, understanding and identifying client needs.
- Develop collaborative relationship with the Compliance Institute of South Africa (CISA).
- Contribute to a culture of transformation goals by participating in Nedbank culture building initiatives, including CSI.
People Specification
- Essential Qualifications
- NQF Level
- Advanced Diplomas/National 1st Degrees
Preferred Qualification
- Post Graduate Diploma: Risk Management, Advanced Diplomas
- Essential Certifications
- Preferred Certifications
- Compliance Institute of South Africa (CISA) preferred, not essential
- FSCA Phase 1 Compliance Officer approval preferred, not essential
- Minimum Experience Level years experience in risk management of which 5 years in a compliance related role
Technical / Professional Knowledge - Change management
- Cluster specific operations
- Compliance reporting
- Governance, Risk and Controls
- Relevant regulatory knowledge
- Relevant software and systems knowledge
- Reputational risk management
- Risk management process and frameworks
- Stakeholder management
- Codes of Good Governance
Behavioural Competencies
- Decision Making
- Influencing
- Building Trusting Relationships
- Managing Work
- Quality Orientation
- Stress Tolerance
- Refilwe Falatsi_
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