Compliance Officer

4 months ago

Sandton, South Africa TalentCru Full time

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

QUALIFICATION

•    Commerce or Legal degree or equivalent

KNOWLEDGE SKILLS

•    5 to 8 years relevant and practical compliance risk management or legal experience
•    Member of the Compliance Institute of Southern Africa

COMPLIANCE RISK IDENTIFICATION AND ASSESSMENT

  • Conduct formal Compliance Risk Profile workshops to identify and assess the total universe of regulatory requirements applicable to the organization 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 client's Compliance Risk Profile.
  • Stay abreast of amended and/or new regulatory requirements, and pro-actively identify and communicate the impact of the anticipated regulatory change on the organization 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.

 

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

 

 

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