Compliance Manager

6 days ago

Johannesburg, South Africa Nedbank Full time

Job Family- Risk, Audit and Compliance
- Career Stream- Regulatory Compliance

**Job Purpose**
- To assist with the identification, management and reporting of compliance risk and incidents, specific to Investment Banking. This will require an in-depth understanding of the investment banking business as well as requiring the coordination; facilitation and management of compliance risks and incidents through developing networks with business and other key stakeholders as well as providing advice so as to minimise regulatory; reputational and compliance risk and endeavour to avert potential litigations/ penalties arising from compliance breaches.

**Responsibilities**:

- Possess a detailed understanding on the investment banking business (lending, private equity, corporate finance, debt capital markets, equity capital markets, JSE sponsor etc) so as to provide compliance research and advice on investment banking business so as to not only mitigate and manage compliance risk but to also identify opportunities that may arise from new legislation or changes to existing legislation.
- Assist managers within the Business Unit to monitor and report on compliance risks by providing guidance or offering expert investment banking compliance advice together with the provision of compliance training.
- Contribute to a culture of transformation by participating in Nedbank culture building initiatives, business strategy, and CSI.
- Participate in developing, implementing and addressing issues raised in culture surveys to improve results.
- Ensure adherence to the Group’s compliance methodology and framework and develop and foster relationships with colleagues in Group Compliance.
- Manage market abuse and market conduct risks that may arise within the investment banking business unit.
- Keep abreast of all regulatory and industry changes with would include future proofing Compliance (ie digitisation initiatives)..
- Motivate staff to perform and contribute to the success of the business by creating environment of teamwork through engaging with staff (sharing information) and encouraging participation in decision making processes.
- Essential Qualifications - NQF Level- Advanced Diplomas/National 1st Degrees
- Leadership Pipeline- Manage Self: Professional
- Preferred Qualification- Post Graduate Diploma: Compliance
- LLB
- Minimum Experience Level- 3 - 5 years Investment Banking experience either in an operational role or within the business.
- 2 - 3 years experience within a Compliance, Legal or Risk team within a financial services business.
- Technical / Professional Knowledge- Investment Banking product/business knowledge
- Change management
- Client service management
- Diversity management
- Employee training/development
- Governance, Risk and Controls
- Operations planning
- Principles of project management
- Relevant regulatory knowledge
- Strategic planning
- Behavioural Competencies- 360° Decision Making
- Influencing
- Building Trusting Relationships
- Managing Work
- Quality Orientation
- Stress Tolerance
- **_Please contact the Nedbank Recruiting Team at +27 860 555 566_

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