Compliance Manager

2 days ago


Johannesburg, South Africa LMP RECRUIT Full time

**Our client in the financial / tech sector is looking for your passion on compliance and experience to join the team.**

**Qualification and Experience**
- Legal, Risk or Compliance related degree or equivalent.
- CISA membership would be advantageous.
- 3-5+ Years experience in a Compliance environment and/ or managing/ leading a Compliance team preferably in the Financial Services sector (Banking, Fintech).
- Previous FICA or AML Compliance Officer experience required.

**Key Responsibilities**
- Ensure compliance with the NCA, FAIS, FICA, POPIA and any other applicable legislation.
- Roll-out and monitor the implementation of the Risk Management and Compliance
- (RMCP) program and provide input into the same as part of the enhancement process.
- Ensure efficient and effective running of the daily compliance operational activities.
- Assist in communicating key aspects of the compliance policies and frameworks to business stakeholders.
- Take ownership for the compilation and review of compliance policies and procedures.
- Monitor and execute on the outputs of the compliance dashboards.
- Review new/ existing processes and products to identify and mitigate compliance risk and sign-off on the same.
- Be proactive and monitor changes to the regulatory landscape and provide the necessary compliance advice and guidance to business partners.
- Assist in the design, development and delivery of compliance awareness and training interventions.
- Efficiently attend to requests from our sponsoring bank and build good relationships with your corresponding counterparts.
- Ensure that the fraud and ethics hotline queries are followed up on timeously and receive sufficient resolution.
- Assist to produce/ contribute to the Compliance quarterly board reporting
- Ensure that any outstanding compliance allocated internal audit actions are closed within deadline;
- Assist with the annual SOX process - perform and review control adequacy and effectiveness testing, compile written reports on findings, and liaise with and report to Senior Managemen

Key Stakeholders:

- Senior and executive management
- Audit Committee
- The organisation's sponsoring bank
- Regulatory /Industry Bodies viz. the NCR, FIC, FSCA, BASA and other relevant regulators

**Attributes Required**
- Can operate both at a strategic and operational level.
- Proactive individual who is a self-starter and gets things done.
- An individual who takes a pragmatic approach to Compliance and is business-minded.
- Has the ability to work well with people and collaborate to develop practical solutions to compliance related problems.
- Possesses good stakeholder management ability and can develop relationships across senior and junior management levels.
- Good written and verbal communication skills.
- Passionate about compliance.


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