Compliance Manager

7 months ago

Centurion, South Africa Group Finance Full time

**Introduction**

Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations.

We help people grow their savings, protect what matters to them and invest for the future. We help companies and organizations care for and reward their employees and members. Through our own network of advisers or via independent brokers and utilizing new platforms Momentum Metropolitan provides practical financial solutions for people, communities and businesses.

**Role Purpose**

Develop and manage the execution of compliance program in order enable the business within a legal framework.

**Requirements**:

- The Bachelor of Laws (LL. B.) degree is essential.
- 8-10 years compliance related experience
- 3-5 years management experience

**Duties & Responsibilities**

**Assurance
INTERNAL BUSINESS PROCESSES:

- Determine the regulatory and policy universe, and the monitoring coverage plan as it applies to BSM functions.
- Oversee the implementation of the coverage plan including scoping and interaction with business, process analysis and report-writing.
- Ensure the regulatory compliance breach management and follow-up process is followed to enable business to manage and resolve breaches.
- Monitor and provide appropriate oversight for any outsourced or independent compliance functions performed by any legal entities in the business.
- Review all formal and ad hoc reports.
- Work with other assurance providers to provide combined assurance ((Risk, Internal and External Audit and Actuarial where relevant).
- Initiate and contribute to the review of all critical business processes from a regulatory compliance perspective and make recommendations for improvement.
- Oversee completed audits and ensure follow up on outstanding findings and required areas of improvement.
- Collaborate with GFBSM Risk Management on the Quarterly Compliance Report to Group Compliance function and assist Group Compliance function to compile the Quarterly Group Compliance Report.

**Advising (written compliance opinions / memos)
INTERNAL BUSINESS PROCESSES:

- Provide professional advice and guidance to business on compliance matters.
- Advise business on attestation procedures for policies of which BSM business owners are the custodians of.
- Continually align the compliance landscape to the business strategy to enable the business to achieve its objectives in a compliant and sustainable way.
- Monitor and communicate regulatory change and actively influence the business to establish control frameworks.
- Assess the possible impact of any regulatory development on the operations of the business and work with the business to manage compliance.
- Oversee quality of advice and reports submitted to business.

**Training and awareness
INTERNAL BUSINESS PROCESSES:

- Identify reactive and proactive Compliance training needs.
- Draft / review content of Compliance training material for dedicated Learning and Development teams for roll-out to business.
- Participate in induction training for new employees.

**Stakeholder engagement
RELATIONSHIPS:

- Build trusted advisor relationships with internal and external stakeholders and ensure they are provided with service excellence.
- Build strong relationships with internal and external stakeholders as well as the wider MMH Risk and Compliance community.
- Contribute to and participate in critical statutory projects on a formal and ad hoc basis.
- Prepare / review statutory reporting to relevant regulatory, industry or supervisory bodies where required (e.g. FAIS / NCR reporting).
- Create awareness of new compliance requirements and provide guidance on their potential impact where relevant.
- Support business stakeholders to identify compliance risks or weaknesses for which the business should consider additional mitigating actions, processes or procedures.
- Identify and follow-through on opportunities to share knowledge.
- Enhance relationships beyond own function to improve reporting and wider understanding of relevant risk profiles.

**Competencies**
- Relationship management
- Presentation skills
- Report writing skills
- Articulating information
- Providing insights
- Interacting with People
- Directing People
- Examining Information
- Upholding Standards
- Making Decisions

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