Specialist: Compliance

7 months ago

Menlyn Park, South Africa Assupol Full time

Description

**Duties & Responsibilities**:
**Contribute to the efficient and effective functioning of the **Compliance Function**
- Assist manager to ensure that the compliance function are in compliance with law and industry and regulatory body requirements ito Market Conduct
- Promote prevention of legal and regulatory risk in the company (TCF)
- Maintain efficient and effective operations in Compliance
- Validate that policies and procedures with regards to Compliance Function are being adhered to. (TCF)

**Responsible for Compliance Monitoring and Reporting**
- Conduct compliance monitoring according to the approved annual compliance monitoring plan.
- Monitor compliance risk, policies and procedures within the designated region(s)
- Maintain the standardized monitoring procedure.
- Complete monitoring reports
- Provide overall compliance assistance, guidance and advice to Assupol Group of Companies
- Contribute to the completion of compliance reporting (internal and regulatory)
- Conduct monthly oversight of advice process on regional level in accordance with the agreed Standard Operating Procedures

**Provide Training and Awareness on Compliance Matters**
- Organize and facilitate monthly compliance training within the designated region(s)
- Create awareness in Assupol Group of Companies with law requirements (TCF)
- Inform employees about relevant compliance matters
- Develop, educate and enabling healthy and business orientated compliance culture
- Contribute to the development of compliance risk management plans (CRMP)
- Update the Exclaim system where applicable

**Market Conduct responsibilities**
- Co-ordination of Market Conduct function
- Liaise between managers, team and other departments
- Follow-up on responses and reports from managers
- Manage incoming correspondence from the regulator or any other industry body
- Department communication
- Update the Market Conduct Framework as required

**Market Conduct Committee**
- Prepare and consolidate reports
- Prepare documentation e.g. reports, presentations and memos
- Distribute the meeting pack to committee members and other stakeholders where applicable in accordance with the Terms of Reference.
- Liaise with internal and external stakeholders and executives, directors, committee members, company secretary and others, where appropriate
- Preparation for meetings: Preparation of meeting packs (agenda, minutes and other required material)
- Take minutes at the Market Conduct meetings and distribute minutes where necessary
- Maintain compliance records pertaining to the Market Conduct function and the Market Conduct Committee

**Requirements**:
**Formal Education**
- Legal, Compliance, Risk or relevant qualification / equivalent or studying towards the qualification.
- Compliance Certificate (Advantage)
- Registered with CISA (Compliance Institute of South Africa)

**Experience**:

- 6-12 months in a compliance role

Work Level

Skilled

Job Type

Permanent

Salary

Market Related

EE Position

No

Location

Menlyn

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