Compliance Manager

Found in: Talent ZA 2A C2 - 2 weeks ago

Johannesburg, South Africa LMP RECRUIT Full time

Our client in the financial / tech sector is looking for your passion on compliance and experience to join the team .

Qualification and Experience

  • Legal, Risk or Compliance related degree or equivalent.
  • CISA membership would be advantageous.
  • 3-5+ Years experience in a Compliance environment and/ or managing/ leading a Compliance team preferably in the Financial Services sector (Banking, Fintech).
  • Previous FICA or AML Compliance Officer experience required.

Key Responsibilities

  • Ensure compliance with the NCA, FAIS, FICA, POPIA and any other applicable legislation.
  • Roll-out and monitor the implementation of the Risk Management and Compliance
  • (RMCP) program and provide input into the same as part of the enhancement process.
  • Ensure efficient and effective running of the daily compliance operational activities.
  • Assist in communicating key aspects of the compliance policies and frameworks to business stakeholders.
  • Take ownership for the compilation and review of compliance policies and procedures.
  • Monitor and execute on the outputs of the compliance dashboards.
  • Review new/ existing processes and products to identify and mitigate compliance risk and sign-off on the same.
  • Be proactive and monitor changes to the regulatory landscape and provide the necessary compliance advice and guidance to business partners.
  • Assist in the design, development and delivery of compliance awareness and training interventions.
  • Efficiently attend to requests from our sponsoring bank and build good relationships with your corresponding counterparts.
  • Ensure that the fraud and ethics hotline queries are followed up on timeously and receive sufficient resolution.
  • Assist to produce/ contribute to the Compliance quarterly board reporting
  • Ensure that any outstanding compliance allocated internal audit actions are closed within deadline;
  • Assist with the annual SOX process - perform and review control adequacy and effectiveness testing, compile written reports on findings, and liaise with and report to Senior Managemen

Key Stakeholders:

  • Senior and executive management
  • Audit Committee
  • The organisation''''''''s sponsoring bank
  • Regulatory /Industry Bodies viz. the NCR, FIC, FSCA, BASA and other relevant regulators

Attributes Required

  • Can operate both at a strategic and operational level.
  • Proactive individual who is a self-starter and gets things done.
  • An individual who takes a pragmatic approach to Compliance and is business-minded.
  • Has the ability to work well with people and collaborate to develop practical solutions to compliance related problems.
  • Possesses good stakeholder management ability and can develop relationships across senior and junior management levels.
  • Good written and verbal communication skills.
  • Passionate about compliance.

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