Global Compliance Monitoring Officer

3 weeks ago

Cape Town, Western Cape, South Africa Rory Mackie & Associates Full time

About the Compliance Monitoring team:

The Compliance Monitoring team is a second line of defence assurance function which designs and delivers global and local risk-based compliance monitoring and testing programmes. The primary responsibility of the Compliance Monitoring team is to conduct periodic reviews of internal and external business processes and functions to ensure compliance with the relevant regulations and internal procedures.

The Compliance Monitoring function closely collaborates with various stakeholders across the organisation, including the compliance team, legal department and operational business units.

Responsibilities:

  • Assist in the design and delivery of our client's Global Compliance Monitoring and Testing Programme, ensuring it adequately covers all material regulatory risks faced by all our client's entities
  • Undertake regional monitoring in all the regions in which they operate to help ensure compliance with relevant legislation
  • Conduct core and thematic compliance monitoring reviews across the business, including internal functions and outsourced providers
  • Monitor and report on the implementation of any corrective actions agreed to by the business
  • Assist in the reporting of all finding arising from the completion of the monitoring and testing programmes to relevant stakeholders and committees in a timely manner
  • Ensure that the database of risks, controls and monitoring tests is properly maintained and accurately reflects the monitoring work undertaken by the team
  • Work closely and collaboratively with the compliance teams in each of the various jurisdictions
  • Work closely and collaboratively with relevant stakeholders (including business leads, Operations, Risk and Internal Audit)

Requirements:

  • Relevant tertiary Degree and Compliance related courses 
  • 2-4+ years of relevant compliance monitoring experience, within an asset management environment
  • Technical understanding of relevant South African regulation
  • Technical understanding of relevant global regulation is not a requirement although it would be beneficial
  • Skills: Strong analytic and reporting skills, excellent communication abilities, experience managing cross 'functional stakeholder relationships, and a high aptitude for quickly mastering new compliance areas

Attributes we look for in a person are:

  • The ability to 'approach and own' and continuously looks for opportunities to develop
  • Intellectual curiosity (specifically the use of technology for compliance monitoring)
  • Ability to analyse, interpret and assimilate information
  • High conviction and be comfortable sharing opinions
  • The ability to build and maintain meaningful relationships

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