Compliance Officer

9 hours ago

Johannesburg, South Africa Affirmative Portfolios Full time

**Legal ~ Miscellaneous**
**JHB North**
***:
**JOB OUTLINE**

**COMPLIANCE OFFICER**

**JOHANNESBURG NORTH**

**SALARY - MARKET RELATED**

**MUST HAVE EXPERIENCE WORKING IN THE BANKING AND FINANCE INDUSTRY - NOT NEGOTIABLE**

**Anti-Money Laundering Control Officer**

**Category**: Legal

**Reports to** - The Compliance Manager

**Education Level**:

- Bachelors Degree

**Overview**:
The Compliance Officer is responsible for assisting and supporting SBUs/Departments in complying with the all applicable regulatory requirements (i.e. Laws, Regulations and Supervisory requirements (i.e. rules, codes and self-regulatory organizational standards)

applicable to the company by facilitating the implementation, management and maintenance of the compliance methodology.

**Main Duties and Responsibilities**:
**COMPLIANCE RISK IDENTIFICATION AND ASSESSMENT **- Conduct formal Compliance Risk Profile workshops to identify and assess the total universe of regulatory requirements applicable to the company and its Business Unit/Depts. - Conduct informal Compliance Risk Profile reviews to identify amended and/or new regulatory requirements and update the Compliance Risk Profile/s accordingly in support of the overall Compliance Risk Profile. - Stay abreast of amended and/or new regulatory requirements, and pro-actively identify and communicate the impact of the anticipated regulatory change on the company and its Business Units/Depts. - Compile and continuously update, manage and execute an SBU/Dept. Compliance Coverage Plan, detailing the compliance risk identification, assessment, management, monitoring and reporting activities to be undertaken for a financial year.

**COMPLIANCE RISK MANAGEMENT **- Compile Compliance Risk Management Plans for the applicable regulatory requirements. - Review, manage and update existing Compliance Risk Management Plans when so required, but at the least once every two years. - Provide compliance advice to the SBUs/Depts on the requirements stipulated within the compliance-owned policies, the regulatory control environment (existing and/or new) and the ways in which to minimize the impact of occurred non-compliance. - Participate in projects to identify applicable compliance risks and advise on the management and mitigation thereof. - Undertake compliance awareness activities such as: - contributing articles to in-house publications;
- distributing interesting and relevant articles; and conducting presentations to the SBUs/Dept. on applicable regulatory requirements to support the embedment and enhancement of a culture of compliance.

**COMPLIANCE RISK MONITORING **- Plan, manage and conduct compliance monitoring (i.e. control adequacy reviews, control effectiveness reviews, control self-assessment questionnaires/sign-offs and/or control spot check reviews) on the applicable regulatory requirements. - Compile and discuss the Compliance Review Report with the SBU/Dept and agree the corrective actions to be taken, the person responsible for implementing the corrective actions and the due date for implementation. - Log all compliance findings on the Compliance Issues Log, manage and track the progress made by the SBU/Dept. in closing the finding/s and ensure that the Compliance Issues Log accurately reflects all amendments, supporting the integrity of the data reported on to the relevant governance committees.

**COMPLIANCE RISK REPORTING **- Compile and submit a Compliance Risk Profile Report to the SBUs/Depts. - Compile, agree and submit a SBU/Dept. Compliance Coverage Plan with/to the SBU/Dept. - Compile, manage, discuss and agree the Control Adequacy Review Report and/or Control Effectiveness Review - Report and/or Control Self-Assessment Review Report and/or Control Spot Check Review Report with the SBU/Dept. - Compile and submit a quarterly SBU/Dept. Compliance Report, detailing the status of the Management of the compliance risks within the SBU/Dept.

**Minimum Requirements**:
**QUALIFICATIONS**:

- Commerce or Legal degree or equivalent

**Minimum CRITERIA**:

- Minimum of 2 to 3 years relevant and practical compliance risk management or legal experience
- Member of the Compliance Institute of Southern Africa

**TECHNICAL/FUNCTIONAL COMPETENCIES**
- Planning and Organizing
- Project Management Skills
- Strong Analytical Skills
- Presentation skills
- Stakeholder Engagement Skills
- Negotiating and Influencing

**BEHAVIOURAL COMPETENCIES**
- Attention to detail, Highly Ethical and integrity and Good Communication and interpersonal skills

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