Compliance Officer

2 weeks ago

Johannesburg, Gauteng, South Africa Secondments Recruitment Full time

Job Advert Summary:

The Compliance Officer is responsible for assisting and supporting SBUs/Departments in complying with the all applicable regulatory requirements (i.e. Laws, Regulations and Supervisory requirements (i.e. rules, codes and self-regulatory organizational standards) applicable to the company by facilitating the implementation, management and maintenance of the compliance methodology

Minimum Requirements:

JOB REQUIREMENTS

QUALIFICATIONS:

  • Commerce or Legal degree or equivalent

SELECTION CRITERIA

  • Minimum of 2 to 3 years relevant and practical compliance risk management or legal
experience

  • Member of the Compliance Institute of Southern Africa
TECHNICAL/FUNCTIONAL COMPETENCIES

  • Planning and Organizing
  • Project Management Skills
  • Strong Analytical Skills
  • Presentation skills
  • Stakeholder Engagement Skills
  • Negotiating and Influencing

BEHAVIOURAL COMPETENCIES

  • Attention to detail.
  • Highly Ethical and integrity
  • Good Communication skills

Duties and Responsibilities:

MAIN DUTIES AND RESPONSIBILITIES

COMPLIANCE RISK IDENTIFICATION AND ASSESSMENT

  • Conduct formal Compliance Risk Profile workshops to identify and assess the total universe of
regulatory requirements applicable to the company and its Business Unit/Depts.

  • Conduct informal Compliance Risk Profile reviews to identify amended and/or new regulatory
requirements and update the Compliance Risk Profile/s accordingly in support of the overall company

Compliance Risk Profile.

  • Stay abreast of amended and/or new regulatory requirements, and proactively identify and
communicate the impact of the anticipated regulatory change on the company and its Business

Units/Depts.

  • Compile and continuously update, manage and execute an SBU/Dept. Compliance Coverage
Plan, detailing the compliance risk identification, assessment, management, monitoring and

reporting activities to be undertaken for a financial year.

COMPLIANCE RISK MANAGEMENT

  • Compile Compliance Risk Management Plans for the applicable regulatory requirements.
  • Review, manage and update existing Compliance Risk Management Plans when so required,
but at the least once every two years.

  • Provide compliance advice to the SBUs/Depts on the requirements stipulated within the
compliance-owned policies, the regulatory control environment (existing and/or new) and the

ways in which to minimize the impact of occurred non-compliance.

  • Participate in projects to identify applicable compliance risks and advise on the management
and mitigation thereof.

  • Undertake compliance awareness activities such as:
  • contributing articles to in-house publications;
- distributing interesting and relevant articles; and conducting presentations to the SBUs/Dept. on

applicable regulatory requirements to support the embedment and enhancement of a culture of

compliance.

COMPLIANCE RISK MONITORING

  • Plan, manage and conduct compliance monitoring (i.e. control adequacy reviews, control
effectiveness reviews, control self-assessment questionnaires/sign-offs and/or control spot check

reviews) on the applicable regulatory requirements.

  • Compile and discuss the Compliance Review Report with the SBU/Dept and agree the
corrective actions to be taken, the person responsible for implementing the corrective actions

and the due date for implementation.

  • Log all compliance findings on the Compliance Issues Log, manage and track the progress
made by the SBU/Dept. in closing the finding/s and ensure that the Compliance Issues Log

accurately reflects all amendments, supporting the integrity of the data reported on to the

relevant governance committees.

COMPLIANCE RISK REPORTING

  • Compile and submit a Compliance Risk Profile Report to the SBUs/Depts.
  • Compile, agree and submit a SBU/Dept. Compliance Coverage Plan with/to the SBU/Dept.
  • Compile, manage, discuss and agree the Control Adequacy Review Report and/or Control
Effectiveness Review

  • Report and/or Control Self-Assessment Review Report and/or Control Spot Check Review
Report with the SBU/Dept.

  • Compile and submit a quarterly SBU/Dept. Compliance Report, detailing the status of the
Management of the compliance risks within the SBU/Dept.

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