Compliance Manager

2 days ago

Sandton, South Africa Secondments Recruitment Full time

**Job Advert Summary**:
To assist the Head: Group Compliance in the execution of compliance duties and to proactively safeguard the Bank against any compliance risks by ensuring compliance with regulatory requirements, including amongst others, Acts, regulations, policies and procedures.

**Minimum Requirements**:
SKILLS/PERSONAL ATTRIBUTES REQUIRED
- Relevant Bachelors degree.
- An admitted Attorney and / or a Diploma in Compliance Management or related field will be an added

advantage.
- At least 5 years’ relevant experience within the Financial Services Industry.
- Minimum 3 years’ experience in a management role.
- Minimum 3 years’ experience/exposure in data analytics.
- Proven and demonstrable success in developing compliance programs.
- Experience in advising on matters in an organisation with a diverse range of business activities.
- Ability to develop policies and procedures.
- Planning and organising skills
- Attention to detail.
- Ability to work effectively within a team.
- Ability to work under pressure.
- Ability to work after hours if there is a need to do so for short periods.
- Ability to build successful and long-lasting relationships with key stakeholders both internally and externally.
- Possess soft skills to maintain relationships with internal and external stakeholders long term.
- Ability to take theoretical concepts and practically execute them.
- Deciding and initiating action.
- Entrepreneurial and commercial thinking

KEY COMPETENCIES REQUIRED
- Comprehensive knowledge of relevant Acts and Regulations affecting the Financial Services Industry.

Knowledge of proposed new and / or amendments where applicable.
- Strong knowledge and understanding of key control assessment processes.
- A strong knowledge and understanding of banking products, governance and control frameworks in the

financial services industry.
- Strong analytical skills to analyse trends and typologies in data and make informed decisions on such trends

and typologies.
- Ability to exercise oversight over the operational compliance areas.
- Ability to identify weaknesses in the control environment and implement changes.
- Management skills to successfully manage a team, if required to do so

**Duties and Responsibilities**:
DESCRIPTION OF TASKS
- Identify the Regulatory landscape for the Group. This requires thorough knowledge and understanding of the financial services regulatory landscape to sufficiently identify Acts and Regulations that impact the Group.
- Proactively identify and assess proposed changes to new legislation or amendments to current legislation by

conduct an impact assessment of the proposed new or amended changes.
- Draft governance documents. This requires the ability and proven experience in drafting documents, such as

Regulatory Universe, Coverage Plans, Policies, procedure manuals etc.

analyse and draft a RBA in certain instances and to sufficiently mitigate the RBA to be taken.
- Provide information on request from competent authorities timeously and efficiently by engaging relevant

stakeholders for such information requested. Vetting information before submission to the relevant authorities.

Market Conduct:

- To manage the Market Conduct portfolio for the Bank in ensuring compliance with various legislative

requirements.
- Provide guidance to business on entrenching the Treating Customers Fairly (TCF) requirements into operational processes.

Ensuring that all Representatives and Key Individuals (KI’s) are suitably accredited and trained and meet the

requirements of the Financial Advisory and Intermediary Services (FAIS) Act.

Ensure that the Bank’s Complaints processes are entrenched and
- Ensure that the Bank’s Complaints processes are entrenched and that all complaints are managed

appropriately by the business in line with TCF principles.
- Ensure that appropriate reporting is done to various stakeholders and the Regulator.

Advice and Identification of Compliance Risks:

- Provide advice to all divisions within the bank and raise awareness of the cost benefit of compliance, good

ethics and corporate governance.
Monitoring:

- Conduct monitoring on the requirements of applicable Acts or Regulations. This requires a thorough

understanding of the procedures and processes relating to formal monitoring within the Group, including but

not limited to providing guidance and templates on scope, working papers, formal reports to be issued, etc.
Training:

- Provide training for own staff and assist in drafting training material on applicable regulatory requirements.
- Identify and provide training to high impact individuals or roles where necessary.

Data Analytics:

- Conduct analytics using data on specific compliance requirements.
- Proactively identify areas of concern where data analytics is required to address any shortfalls.

Projects:

- Manage Compliance projects for the implementation of required systems for the Bank.
- Conduct gap analysis, where appropriate

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