Compliance Assurance Specialist

4 weeks ago

Cape Town, Western Cape, South Africa Mukuru Full time

We have an exciting opportunity for a Compliance Assurance Specialist to join our team. In this role, you will be responsible for reviewing, testing, and monitoring compliance with applicable regulatory compliance legislation, Group frameworks, policies, standards, and internal processes developed by the 2nd line of defence (compliance) and implemented by the 1st line of defence (operations) across the Group. This will include, but is not limited to, compliance functions such as financial crime, regulatory licensing, data protection, partner relationships, conduct & ethics, as well as operational functions like verification, regulatory and compliance operations, and system implementations. The Compliance Assurance Specialist will also assist with testing and monitoring of Business as Usual (BAU) compliance, alongside supporting remediation projects.

Duties and Responsibilities (include but not limited to):

To develop and implement the compliance assurance:

  • Work closely with the Compliance Assurance Manager, Head of Verifications, Head of Compliance, Regulatory Compliance Change Programme Manager, Head of Financial Crime, Licensing, and Exchange Control Manager.
  • Draft and implement the compliance methodology across the regulatory universe and develop adequate testing plans.

To perform compliance assessments and testing of policies, processes, and controls in line with the applicable regulatory compliance legislation and internal controls:

  • Perform compliance assessments and testing of internal policies, controls, and processes in line with regulatory compliance legislation to identify risks and other compliance issues, and report your insights directly to the Compliance Assurance Manager / Head of Compliance and Assurance.
  • Assist with clarifying regulatory requirements on remediation projects and BAU to ensure that requirements are understood, clearly documented, and implemented.
  • Attend various regulatory compliance governance forums focusing on the development, implementation, and/or remediation of Mukuru's internal compliance standards and controls.

To identify areas of deficiencies, potential regulatory breaches, and provide fit-for-purpose recommendations and define corrective action plans:

  • Identify any areas of deficiencies and/or risk which Mukuru is exposed to and report such issues to the Compliance Assurance Manager / Head of Compliance and Assurance.
  • Develop fit-for-purpose recommendations and corrective action plans.
  • Monitor the progress on any remediation project and report the status thereof to the Head of Compliance and Assurance and/or the relevant board committees.
  • Provide practical, fit-for-purpose guidance in relation to the regulatory universe applicable to Mukuru, including practical perspectives on the applicability of laws, rules, and regulations across the business.
  • Assess and provide regulatory guidance in relation to existing and potential new products and services within Mukuru.

To draft assurance testing reports:

  • Understand the business of Mukuru to draft factual, well-structured, and informative reports on compliance assessments, detailed findings, and fit-for-purpose recommendations and corrective actions.
  • Communicate findings to senior stakeholders and governance forums.

To manage own professional and self-development:

  • Attend performance review meetings with the Head of Compliance and Assurance.
  • Attend all required training courses.
  • Identify development areas in your role and work with your Department Heads on your Personal Development Plan.

Key Requirements

  • Grade 12 or equivalent
  • Internal Audit / Law / Risk / Compliance or post-graduate qualification

Beneficial

  • Member of the Institute of Internal Auditors South Africa (IIA SA)
  • Change and Project management skills or the willingness to achieve within a period of being appointed
  • 3 to 5 years of experience working in compliance management, risk management, internal audit and/or risk function, with recent experience in regulatory compliance
  • Experience in quality assurance or regulatory examination, including developing assurance frameworks, methodology, and testing plans
  • Experience working in a team-oriented, collaborative environment
  • Working in a fast-paced and high-pressure environment requiring high energy
  • Working within an Agile environment
  • Excellent working knowledge of regulatory compliance laws and practices applicable across all jurisdictions Mukuru has licensed operations and partner relationships
  • Excellent working knowledge in assessing and testing the adequacy and effectiveness of processes, technology systems, and controls across regulatory compliance components
  • Relevant experience in regulatory compliance, which includes but is not limited to AML, CFT, Sanctions (including transaction monitoring, regulatory reporting, screening, etc.), safeguarding of customer funds, Exchange Control, and Data Protection and Privacy laws
  • Sound understanding of compliance testing methodology and testing plans

Additional Skills

  • Able to exercise independent judgment and act on it
  • Excellent listening, interpersonal, drafting, and oral communication skills
  • Good presentation skills
  • Keen attention to detail and ability to scrutinise the adequacy, effectiveness, and practical application of compliance requirements
  • Excellent skills in drafting reports on detailed findings, accompanied by fit-for-purpose corrective actions
  • Able to draft and implement compliance methodologies and testing plans
  • Logical, practical, and efficient, with a focus on sustainability
  • Highly self-motivated and directed
  • Ability to effectively prioritise and execute tasks while under pressure
  • Must be able to adapt quickly to change, be agile in approach, but thorough in execution
  • Ability to review and assess technical and complex regulatory concepts and communicate the findings thereof to key stakeholders
  • Hybrid way of work (Various Mukuru Offices, Home)
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