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Compliance Officer

5 months ago

Sandton, South Africa IDC Full time

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 IDC by facilitating the implementation, management and maintenance of the compliance methodology.

**Qualification and Experience** QUALIFICATION**
- Legal degree or equivalent

**KNOWLEDGE & SKILLS**
- Minimum of 5 to 7 years relevant and practical compliance risk management or legal experience. Professional Affiliation.
- Membership with the Compliance Institute of Southern Africa (CISA).

**Roles 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 IDC 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 IDC 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 IDC 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.

Job Reference: IDC00087