Regulatory Operations Specialist

2 weeks ago

Cape Town, Western Cape, South Africa Nedbank Full time
Job Family- Risk, Audit and Compliance- Career Stream- Regulatory Compliance- Leadership Pipeline- Manage Self: Technical (MST)- FAIS Affected
Job Purpose

  • To provide first line client regulatory operational support and administration to Wealth Management in order to ensure that Wealth Management is compliant in terms of client regulatory requirements, by analysing and monitoring regulatory risk indicators associated with money laundering; terrorist financing and sanctions compliance and conduct due diligence analysis where required

Responsibilities:

  • Review and approve all client regulatory operational risks associated with:
  • FATCA and Common Reporting Standards (CRS) accurate identification of risks and gaps.
  • FICAA requirements identification of risks and gaps.
  • AML, CFT and Sanctions accurate identification of risks and gaps
- and report same to line management. Ensure efficient identification, maintenance and verification of all on-boarded and existing clients within Wealth Management, ensuring all client regulatory operational requirements met.
  • Review and approve enhanced due diligence on high risk clients
  • Investigate and assess alerts relating to potential money laundering risks and sanctions
  • Help in identifying potential weaknesses in processes
  • Perform a reasonability test on all clients for tax obligations reporting
  • Analyse and review information to ensure accuracy of information and correct processes followed.
  • Improve regulatory posture: Regulation compliance, identification of regulatory gaps, action plans to address gaps ensuring satisfactory rating achieved in audits
  • SLA's to be met at all times in terms of agreed minimum SLA's per task
  • Team member contribution in terms of daily/weekly percentage work done to always be on par or better than fellow team members, always taking cognisance of the fact that full team performance is a product of individual team members contribution
  • Tasks completed per team member will not only be measured by quantity but also the quality of tasks and the complexity range (Percentage task completed will be measured across task types).
  • Identify opportunities to improve service delivery including client satisfaction survey (internal and external)
  • Ensure all internal controls, information and documentation that have been distributed to business is with regards to client regulatory operations are adhered to by the business.
  • Respond to queries from stakeholders to ensure that client regulatory operational risks are managed.
  • Ensure up skilling takes place and effective handover to relevant responsible person for actioning by providing input into training sessions and/or sharing knowledge of trends and identified risks with team and stakeholders during formal and informal interactions.
  • Continually provide feedback regarding innovative ways to streamline and automate all processes and systems in order to streamline same in client regulatory operations area
  • Understand and embrace the Wealth vision and demonstrate the values through interaction with team and stakeholders, to achieve goals and objectives.
  • Improve personal capability and stay abreast of developments in field of expertise by identifying training courses and career progression opportunities for self with input from management.
  • Support personal growth and enable effectiveness in performance of roles and responsibilities by ensuring all learning activities are completed, experience gained and certifications obtained within specified time frames.
  • Build internal credibility by ensuring that direct reports are a highperformance team, visible, engaged, completing tasks successfully and have diverse skillset in line with WM regulatory operational needs.

Job Responsibilities Continue

People Specification

  • Essential Qualifications
  • NQF Level
  • Diploma
  • Matric / Grade 12 / National Senior Certificate


 Preferred Qualification
  • Diploma
in business / risk / Regulatory Management
  • Essential Certifications
  • Preferred Certifications
  • Minimum Experience Level 3 years regulatory and/or compliance experience is essential
    Technical / Professional Knowledge
  • Administrative procedures and systems
  • Business Acumen
  • Governance, Risk and Controls
  • Relevant Nedbank policies and procedures
  • Relevant software and systems knowledge
  • Analytical Skills
  • Products and Services


 Behavioural Competencies
  • Decision Making
  • Quality Orientation
  • Managing Work
  • Building Partnerships
  • Influencing
  • Continuous Improvement
- **_Please contact the Nedbank Recruiting Team at _

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