Manager: Governance, Compliance and Ethics

1 week ago

Pretoria, South Africa PreBless Group Full time

**ROLE OVERVIEW**

To lead the Banks Compliance function by providing strategic direction and focus and by establishing and promoting a compliance culture within the Bank. To ensure that the Bank complies with all relevant statutory, regulatory and supervisory requirements that pertain to its particular industry as well as professional standards, accepted business practices and internal standards. To ensure that the Banks corporate governance processes and internal policies are sound and embedded within the organization. To ensure that the Bank conducts its business in an ethical manner and to promote an ethical culture within the Bank thereby assisting to manage risk, maintain a positive reputation. To create awareness and educate employees and management at all levels as well as instituting practices that will ensure the highest possible level of compliance. Participating in and supporting the Board and Board sub-committees in effective management of compliance risks. To oversee elements of Financial Crime Risk management

**QUALIFICATIONS AND EXPERIENCE**
- Degree in law, audit, risk management or similar. Post graduate diploma in compliance management or CISA accredited Compliance Practioners. Meet the requirements of "fit and proper" as prescribed by the Compliance institute of Southern Africa.
- Accreditation as a Compliance Practitioner with the Compliance Institute of SA
- 8 years Compliance management experience

**Critical Competencies**:

- Microsoft Office
- Knowledge of enterprise risk management principles
- Knowledge / Experience of compliance systems / tools
- Compliance Management Principles and Processes
- Knowledge of Compliance related legislation
- Knowledge and interpretation skills of all applicable legislation to the business of the Bank and ability to communicate on advanced level.

**KEY PORTFOLIO AND PERFORMANCE FOCUS AREAS**
- ** Governance and Compliance Oversight: Strategic Alignment Compliance Framework, Compliance Programme and Managerial responsibilities**
- Develops and oversee the implementation of a consistent integrated compliance framework and compliance programme for the identification, prioritisation, management, monitoring and reporting of compliance risks and issues.
- Develop a comprehensive compliance risk management programme that is integrated with the organisations strategic planning process.
- Assist management in becoming aware of their responsibilities relating to compliance with regulatory requirements.
- Examines and keeps abreast of all changes in legislation and regulations and advise all stakeholders of the potential impact that such changes would have on the Banks operations.
- Independently monitoring and reporting to top management on the effectiveness of the compliance function.
- Provides advice to management and the Board as required in adherence to compliance functions imposed by legislation and governance principles.
- Develop a framework for policies within the bank that is aligned to legislation and best practice corporate governance.
- Develop and guide the maintenance of a policy and procedure repository within the bank.
- Communicate, meet and plan with internal audit on a periodic basis in order for IA to conduct independent reviews of the compliance function.
- ** Governance and Compliance Oversight: Regulatory reporting and Regulator and Stakeholder interaction**
- Build and maintain effective regulator and stakeholder relationships.
- Develop and maintain professional working relationships with regulators and other stakeholders through formal and informal interactions.
- Develop a plan to manage an organisations relationship with all regulators / supervisors that have jurisdiction.
- Coordinate communication channels and liaison with regulators and supervisors.
- Participate and oversee where necessary in regulatory inspections.
- Represent the Unit on governance compliance related matters and various forums.
- ** Governance and Compliance
- Assurance and Monitoring Oversight (second line of defence)**
- Develop the compliance risk identification matrix of the Bank to understand the business of the bank and all applicable legislation (compliance process phase1).
- Develop the compliance risk priorization index for the Bank to categorise and prioritize and classify the applicable legislation to the Bank (compliance process phase 2).
- Develop control optimization and risk management plans for applicable legislation for the Bank (compliance process phase 3).
- Develop compliance risk monitoring plans and reporting tools for the bank for all applicable legislation and reporting (compliance process phase 4).
- Develop a compliance monitoring plan and compliance programme to ensure monitoring of the Banks compliance risk as well as compliance to laws, regulations and supervisory requirements.

***
- **Governance and Compliance Oversight: Ethics Culture and Management. Establish best practice and create awareness to an ethics culture in the o

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