Compliance Specialist

5 months ago

Johannesburg, South Africa Hollard Recruitment Full time

**Job Advert Summary**:
The Compliance Division within Group Compliance is looking for a Compliance Specialist to join their team. The Compliance Specialist advises and guides teams on the identification of relevant compliance risks and the development of compliance risk management plans.

**Required Knowledge and Experience**:
Minimum:

- 3-5 years Business Compliance experience in Financial Services
- Solid understanding and experience in Business Processes environment, eg claims, sales, distribution

**Skills**:

- Relationship management
- Communication (written and verbal)
- Investigative/auditing abilities
- Analytical thinking
- Problem solving
- Process mapping
- Presentation
- Report writing
- Computer Literacy (MS Office)
- Planning and organising - project level
- Legislative analysis and interpretation
- Assessment of the adequacy and effectiveness of controls
- Business Acumen
- Root cause analysis
- Intermediate: Excel & Word

Knowledge:

- FAIS
- FICA (Money Laundering Laws)
- Long Term and Short Term Insurance Acts
- Pensions Fund Act
- POPIA

Key Responsibilities:

- Assist teams to develop, implement and manage comprehensive compliance risk management plans through advising on:

- compliance requirements per business area
- identifying and rating the applicable compliance risks
- developing a compliance risk management plan
- the design of appropriate procedures and processes to manage identified risks
- implementing a continuous compliance risk monitoring process
- Perform effective monitoring and reporting of business compliance by conducting compliance monitoring reviews of high risk regulatory items within Business Units
- Distil new legislative requirements and effectively and practically translate the compliance requirements impacting on business operations, processes and practices to the management of those business areas.
- Proactively consult with business areas in order to align compliance requirement to current and future business activities.
- Facilitate compliance risk management workshops within teams to identify relevant regulatory risks.
- Review operational transactions, procedures and processes to determine whether they are compliant with relevant regulatory requirements.
- Identify and communicate compliance risk issues and/or irregularities and assess the adequacy and effectiveness of management’s proposed mitigation and prevention plans.
- Prepare reports on individual compliance monitoring reviews.
- Participate in and contribute to high level summary reporting to business units.
- Participate in and contribute to Board Reporting for the Group.
- Assist in preparation and submission of reports.
- Manage and maintain positive relationships with internal and external stakeholders.

**Educational Requirements**:
Minimum:

- Related Degree or IISA Licentiate/Associate - Legal or Auditing Degree (preferred)
- Compliance Management Certificate an advantage (NQF 7)

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