Compliance Supervisor

2 weeks ago

Sandton, South Africa Ellahi Consulting Full time

Join a dynamic team at a leading global law firm's Global Business Services Centre as a Compliance Supervisor Lead a dedicated Compliance Team in ensuring regulatory compliance across continents.

If you are an experienced Compliance professional with a background in Compliance/AML, strong communication skills, and a proactive problem-solving approach, we want you



JOB DESCRIPTION:
COMPLIANCE SUPERVISOR ROLE PROFILE



BUSINESS FUNCTION :
NEW BUSINESS CONFLICTS AND COMPLIANCE



WORKING HOURS :
MON TO FRI 9:00 AM TO 5:30 PM BUT ADDITIONAL HOURS

MAY BE REQUIRED



REPORTS TO :
COMPLIANCE MANAGER



PLANNING CYCLE :
12MONTHS



SALARY RANGE :
R675k to R750k per annum CTC

PURPOSE


The role of a Compliance Supervisor is primarily to oversee operations and personnel of an assigned group of Compliance Assistants, Junior Compliance Analyst, Compliance Analyst, Senior Compliance Analyst and Compliance Coordinators within the overall Compliance Team.


The Compliance Supervisor is responsible for assisting the Compliance Manager ("Manager") and providing support in the absence of the Manager in the day-to-day activities including and but not limited to providing CDD guidance to the team and any administrative issues, such as absence reporting.


The Compliance Supervisor will be working closely with and reporting regularly to the Manager and in the Manager's absence, reporting to the Head of CDD Compliance to facilitate the effective supervision of the team in Johannesburg.


The Compliance Supervisor is responsible to assess the needs of and continue to develop all reporting team members through ongoing mentoring and training.


The Compliance Supervisor is responsible to ensure reporting team members' compliance with the employer's policies and to partake in disciplinary proceedings.


The Compliance Supervisor is responsible to manage performance of reporting team members, including but not limited to timekeeping queries, overtime, monthly work product output and performance, annual reviews and general engagement and deportment in the workplace.


The Compliance Supervisor is expected to be part of the Risk Review panel and to conduct Risk Reviews on the Firm's clients.

The Compliance Supervisor will be expected to conduct CDD on the firms clients during "busy periods".

On an ad hoc basis, the Compliance Supervisor may also be responsible for coordinating incoming clients, reverting to Partners and PA's on urgent queries, assigning work to team members and assisting the Compliance Manager with any other duties conferred onto them


The Compliance Supervisor will be required to advise the Compliance team on complex clients and queries and assist with reviewing junior team member's work.

The Compliance Supervisor should also act as a contact person to whom matters that need be resolved can be escalated, either by members of their own team and/or Partners and PAs.


REQUIREMENTS

Qualifications
Grade 12 or equivalent - NQF Level 4 (essential)

BCom, LLB or equivalent (at least in final year of studies) -NQF Level6/7 (essential)

EXPERIENCE

Education and Experience

  • 5 years relevant working experience required
  • 5 years operational Compliance/ AML working experience with elements of leadership or delegation required

KNOWLEDGE & SKILLS AND COMPETENCIES

SYSTEM SKILLS - MS Office

  • Knowledge of a centralised/ shared services environment
  • Excellent oral and written communication skills
  • Strong organisational, administrative and time management skills
  • Commercial awareness
  • Comfortable to have difficult conversations with team members when required
  • Strong leadership and communication skills with a personality to excel and motivate others to succeed
  • Welldeveloped analytical skills
  • Exemplary behavior in the team specifically relating to performance, diligence, teamwork and timekeeping
  • Ability to multitask and work well under tight deadlines
  • Proactive, hardworking and responsible
  • Proactively assists in the management of feedback and annual conversations; sets and monitors demanding but achievable objectives for self and others
  • Ensures their role and contribution of the team meets business needs

BEHAVIORAL COMPETENCIES

  • Ability to handle queries efficiently with diplomacy and tact
  • Ability to follow instructions precisely
  • Adapting and responding to change
  • Strong work ethic with an inherent sense of urgency
  • Delivering results and meeting business expectations
  • Working with others
  • Delivering through others

KEY ACCOUNTABILITIES OF THE PERFORMANCE AREA

CLIENT RESEARCH

  • Review New Business Intake forms submitted by the International LLP.
  • Conduct Risk review as part of the Mailbox Risk Scoring panel of the Compliance team.
  • Ensure CDD has been gathered to the appropriate standard for all new client registrations, including those clients for whom enhanced due diligence is required.
  • Conduct a degree of personal researc

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