Specialist: Compliance Risk
2 weeks ago
**Job Advert Summary**:
To identify and assess regulatory compliance risks and ensure monitoring through appropriate compliance systems and processes and further provide compliance advice throughout the company.
Provide the reporting on the regulatory compliance risks to Management.
Provide and ensure compliance reporting in terms of legislation to all applicable regulatory Bodies in collaboration with the Business Units.
Promoting the ethical compliance culture across the company
**Minimum Requirements**:
Preferred Minimum Education and Experience
A relevant tertiary qualification in Law, Risk Management or related, and Certificate in Compliance Management
Professional accreditation as a Compliance Practitioner with the Compliance Institute of SA (CPrac) and Certified Ethics Officer.
5 years Compliance principles implementation (end to end)
Critical Competencies
Microsoft Office
Knowledge of risk management principles and compliance monitoring
Knowledge of core legislations and regulators for the company
Report writing and presentation skills.
Knowledge / Experience of compliance systems / tools
Compliance Management Principles
Knowledge of Compliance related legislation
Knowledge of Business and Legal Principles and Interpretation
Interpretation of statutes/ law
Additional Requirements
Travel as and when required.
Extended hours as and when required.
**Duties and Responsibilities**:
Key Performance Areas
1. Implement a comprehensive compliance programme aligned to organizational planning process
Assist management in the design, development, and implementation of compliance frameworks.
Assist in the design, development and delivery of compliance awareness and training interventions.
Develop or review, advise and create awareness of role and responsibility descriptions.
2. Ensure compliance through best fit compliance practice aligned to regulatory requirements and create awareness with stakeholders to embed a compliance culture
Identify, assess, and prioritize all the applicable regulatory requirements that the Bank is required.
Provide compliance advice and services to compliance stakeholders.
Review and Communicate the regulatory universe and risk profile to relevant stakeholders.
Delegation of Power (DOP)
Develop, review, coordinate and facilitate approval protocol and implement policies and procedures within area of responsibility.
Corporate Governance
3. Develop and implement a compliance monitoring plan using accepted standards, methodologies, and tools
Assist and provide input for the identification, prioritization, and management of compliance risk.
Develop a compliance monitoring plans for all divisions & relevant legislations.
Present a compliance monitoring plan to management and governance stakeholders for approval.
Implement appropriate monitoring methodologies.
Monitor compliance with applicable regulatory requirements relevant to the organization and its products and / or services
4. Compliance Reporting
Determine the governance requirements relating to compliance reporting.
Determine the compliance reporting requirements to stakeholders and regulators / supervisors in terms of regulatory and/or organization requirements.
Implement and maintain a compliance reporting processes across the Bank including credit risk monitoring & reporting requirements.
Generate reports in the appropriate format.
5. Build and Maintain stakeholder relationships
Develop and implement registers of regulators and supervisors.
Coordinate communication channels and liaison with regulators and supervisors
Draft policies and procedures to address the management of the relationship with regulators and supervisors.
Implement processes to manage relationships with regulators and supervisors across jurisdictions.
6. Performance of Ethics Responsibilities for the company Group
Collaborate with internal and external stakeholders in addressing ethics related issues.
Conduct research and advice on best practices to detect and address unethical behavior.
Regularly monitor compliance with the complaints and ethics policies and procedures.
Institutionalize ethics via amongst others conducting awareness and training to stakeholders.
Report all non-compliance to relevant stakeholders.
Identify high risk areas and put forth recommendations.
Identify root causes for non-compliance.
Engage with all stakeholders in developing relevant tools/framework/ strategies.
Engage with all stakeholders concerned in conducting the investigation.
7. Provide Business and Team Support
Perform ad-hoc duties as and when they are assigned to Compliance.
May be required to represent Compliance on ad-hoc projects as assigned by line.
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