Manager: Legal, Risk and Compliance

19 hours ago

Johannesburg, South Africa PPS Recruitment Full time

**Job Advert Summary**:
**Minimum Requirements**:
**Education**:

- Grade 12.
- Legal or Commerce bachelor’s degree NQF 7, or professional qualification NQF 8 (i.e., LLB).
- Post Graduate Diploma in Compliance Management, NQF 7, essential.
- C.Prac (SA) designation, preferred.

**Experience**:

- At least 5-7 years’ experience in financial services compliance.
- Experience in insurance (Long-term or Short-Term) and/or financial services preferably at a large corporate or a bank, but alternatively in legal practice dealing with insurance and/or financial services matters.
- Working knowledge of the CURA system or related system.
- Experience working with financial services legislation for example Insurance Act, LTIA, STIA, FAIS, FICA, CISCA etc.

**Knowledge and Skills**:

- Knowledge of Financial Services Regulatory Environment.
- General Legislative Knowledge.
- Ability to draft formal legal opinions on issues which are of a moderately complex (independently) to complex (under guidance) nature.
- Ability to draft legal documents, for example contracts, policy documentation etc. which are of a moderately complex (independently) to complex (under guidance) nature.
- Demonstrated knowledge of Compliance Risk Management Methodology Ability to implement annual compliance plan and requirements arising from new and
Ability to advise business on compliance matters under some guidance.
- ISO 9001 quality management and CURA system.
- Drafting of policies and contracts as well as communicating of legal opinion

**Competencies**:

- Confident and professional manner.
- Good verbal, presentation, and written skills.
- Facilitation.
- Conflict Handling.
- Analytical Thinking and problem-solving skills.
- Judgments.
- Collaborative.
- Sense of urgency.
- Results & Learning orientation

**Duties and Responsibilities**:
All the accountabilities listed below will be performed with some (but limited) guidance from the CFO: Project Gemini and will align with the requirements of the PPS Executive: Legal and Compliance.

**Legal and Compliance**:

- Identify applicable legislation, provide comments, perform risk and impact analysis, and give advice and guidance to business unit.
- Liaising with key stakeholders in the business, regulators, ASISA, and other regulatory bodies when required.
- Identify gaps or potential deficiencies in compliance and other business areas and work with business unit to resolve.
- Drafting, revising, and supporting the negotiation of policies and contracts, ensuring that contractual terms provide compliance with relevant regulations and legislation, but also considering commercial factors.
- Provide legal opinions.
- Litigation management.
- Handling potential and actual disputes, in coordination with internal and external resources.
- Comment on and implement policies and standards from Group Compliance.
- Demonstrate high level of technical and product knowledge.
- Information Governance.
- Ensure business awareness and compliance with data protection laws.
- Liaise with the Groups data owner for breach reporting and escalations from the business unit.
- Recommended corrective actions - prescribing and escalations.
- Manage breaches and risk exposures.

**Corporate Governance**:

- Ensure the effective delivery of company secretariat services for the sub
- boards and committees (internal or outsourced).
- Attend to recommendations from the Board, Risk Committee, management, Group Compliance, and applicable regulators.
- Prepare reports (adhic or in line with regular governance reporting requirements).

**Business Support**:

- Ensure the Compliance Risk Management Plans are loaded on CURA in terms of the CURA plan.
- Report monitoring conducted to and to be reviewed by Group Compliance monthly.
Keep records of all monitoring and activities conducted.
- Conduct regular, risk-based compliance monitoring to ensure appropriate levels of compliance are maintained for prioritised regulatory items on CURA.
- Support business in providing necessary updates on CURA.
- Provide advice to business on compliance matters and implementation of controls, including control effectiveness assessments.
- Track, report and manage compliance incidents and risk issues and report to Group Compliance and Executive: Internal Audit and Compliance.
- Provide compliance training to staff on new or current legislation.
- Assists Management in identifying, assessing, and implementing potential compliance issues, guides.
- Liaising with key stakeholders in the business and other regulatory bodies when required.

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