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Compliance Manager

4 months ago

Johannesburg, South Africa Aquarius Recruitment Full time

Our client is a large scale global, Corporate bank looking for a skilled and experienced Senior Compliance Manager to join their team of diversified, international professionals in their Johannesburg offices.

The Johannesburg branch aims to become a key bank in the Southern African region by actively focusing on Sino
- African trade, increasing its reach and contribution as a regional organization, and providing clients with robust and efficient financial services.

**PURPOSE OF THE ROLE**:
Identify, assess and manage compliance obligations.

Facilitate the development and assist in the implementation of a compliance risk management framework that defines and rates the risk of non-compliance with specific compliance obligations.

Facilitate the development and maintenance of a compliance universe that includes all compliance obligations and monitor the regulatory environment on a continual basis to identify relevant developments and changes therein.

Facilitate, assist in and advise on the development and maintenance of compliance risk management plans for prioritised compliance obligations, make recommendations regarding improvements to operational procedures to aid improved compliance and oversee implementation of compliance procedures.

Guide and facilitate the development and implementation of a training programme on compliance matters affecting the Bank and assist the CCO to compile the compliance strategy and programme and ensure implementation thereof.

Develop an annual compliance coverage plan and serve as a back-up of the CCO as first point of contact for regulators with the Bank..

Report issues of non-compliance to the CCO, track and report on whether management is resolving issues of non-compliance and assist with ad hoc investigations involving issues of non-compliance.

Manage a thorough annual self-assessment by the Bank and relevant departments in terms of all required internal controls by Head Office for the branch.

**MINIMUM QUALIFICATIONS & EXPERIENCE**:
Legal qualification - (LLB or higher);
Post Graduate Diploma in Compliance Management

Corporate banking 5-10 years

Compliance Management 5-10 years

Management 3 - 5 years

**ESSENTIAL COMPETENCIES**:
Compliance Risk Management per the GACP

Contract review and management

Strong analytical and problem solving skills Excellent written communication skills

Functional / industry knowledge

Excellent observational skills

Excellent analytical and investigative skills

Strong critical thinking skills

Strong written and verbal communication skills

Sound decision-making skills

The ability to multi-task and co-ordinate multiple projects Self-Starter

Ability to lead and work within a team

KPA/ STRATEGIC BUSINESS DELIVERABLES

**Compliance Management**:
Compliance Policies and Procedures - draft and implement compliance policies, procedures and practises to ensure that they incorporate all relevant regulatory requirements and develop and maintain effective compliance reporting procedures and/or processes for the Bank and oversee implementation of compliance procedures

Operational Recommendations - make recommendations regarding improvements to operational procedures to aid improved compliance.

Regulatory Universe - facilitate the maintenance of a compliance universe that includes all compliance obligations and monitor the regulatory environment on a continual basis to identify relevant developments and changes therein.

Compliance framework
- establish and maintain a reasonable compliance framework regarding structures, processes, systems and to develop, update and implement changes to the compliance policy, charter, manual and methodology.

Coverage Plan - develop an annual compliance coverage plan that supports the development and maintenance of an effective compliance management system and the achievement of the compliance strategy and other relevant compliance objectives

Compliance Process - attend to recommendations/requests from executive management, audit (internal/external and HO), committees, line management and regulators.

Team Management - work with the CCO and AMLO to ensure strong leadership and team building within the department to achieve organisational objectives and to ensure projects and daily work are realistically and appropriately allocated and managed.

Compliance Reporting and Contact with Regulators

Identification and Planning - identify and effectively address regulatory reporting requirements and obligations, ensure that the relevant staff, responsible for reporting to the Regulators, are aware of the deadlines.

Timeframe/Calendar - establish the timeframes for and frequency of compliance reports; ensure that compliance reporting is timely; update the Reporting Calendar

Format - provide the format (including any relevant template/s) and establish the content requirements for compliance reports

Guidance - provide any relevant guidelines for the compilation of compliance reports

Committee and Board Repo