Compliance Officer

1 week ago

Johannesburg, South Africa Secondments Recruitment Full time

**Job Advert Summary**:
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 company by facilitating the implementation, management and maintenance of the compliance methodology

**Minimum Requirements**:
JOB REQUIREMENTS *

QUALIFICATIONS:

- Commerce or Legal degree or equivalent

SELECTION CRITERIA
- Minimum of 2 to 3 years relevant and practical compliance risk management or legal

experience
- Member of the Compliance Institute of Southern Africa

TECHNICAL/FUNCTIONAL COMPETENCIES
- Planning and Organizing
- Project Management Skills
- Strong Analytical Skills
- Presentation skills
- Stakeholder Engagement Skills
- Negotiating and Influencing

BEHAVIOURAL COMPETENCIES
- Attention to detail.
- Highly Ethical and integrity
- Good Communication skills

**Duties and Responsibilities**:
MAIN DUTIES 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 company 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 company

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 company 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.

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