Due Diligence Monitoring Officer

2 weeks ago

Sandton, South Africa Discovery Ltd. Full time

**Business Unit**:Discovery Life**Function**:Compliance**Date**:26-Jan-2023**Discovery Life**
- Due Diligence Monitoring Officer**About Discovery**
- Discovery’s core purpose is to make people healthier and to enhance and protect their lives. We seek out and invest in exceptional individuals who understand and support our core purpose, and whose own values align with those of Discovery. Our fast-paced and dynamic environment enables smart, self-driven people to be their best. As global thought leaders, Discovery is passionate about innovating in order to not only achieve financial success, but to ignite positive and meaningful change within our society.**About Discovery Life**
- Discovery Life is an ever growing fast-paced and dynamic environment that provides innovative risk assurance to individual clients. This environment thrives on customer engagement and customer experience as well as mutually beneficial relationships with our brokers and other stakeholders. It is important for our employees to provide a world class service to our internal and external clients, thereby ensuring long and sustainable relationships**Key Purpose**
- The purpose of this role is to effectively and productively assist Discovery in managing its responsibility to comply with all the regulatory requirements and minimise the compliance risks identified in business. The role is to assess compliance documents with FAIS as it relates to advice documentation. This is a 1st line of defence function and must ensure that Representatives follow the applicable regulatory and operational requirements in terms of the advice process when rendering financial services to clients.**Areas of responsibility may include but not limited to**:

- The incumbent must have a clear and in depth understanding of the Discovery shared value model and the specific businesses within scope, to be able to make decision that will drive compliance deliverables and promotes successful outcomes to these business areas
- Monitor compliance with laws, regulations and internal policies
- Identify and report on risks, irregularities and non-compliance
- Contribute to effective compliance controls within the organisation
- Make quick, clear decisions which may include tough choices or considered risks
- Identification and evaluation of compliance exposures/regulatory breaches in line with the Due Diligence standards e.g. Reporting and Incident management
- Maintain strong working relationships with line management, Group Compliance and with and team members
- Actively promote internal compliance collaboration between the different functions and teams
- Perform monitoring reviews in line with Compliance Methodology, Guidelines and Standards
- Draft and produce finalised working papers and evidence for all components of work, as per standards set in the Compliance Methodology
- Agree detailed findings with management, and provide appropriate recommendations for management actions
- Follow up on recommended corrective actions, any outstanding monitoring issues and management actions
- Identification of process gaps in the various areas of responsibility and report to line management

**Education and Experience**

**Essential**
- Matric
- Recognized compliance qualification from accredited institution (e.g. Compliance Management Certificate, Wealth Management etc.)
- At least 1 years of working experience in a Compliance role

**Advantageous**
- At least 1 year of monitoring and quality assurance experience in the Financial services environment
- Certificate in Compliance Management
- Post Graduate degree (in a compliance related field)
- RE 1 and/or RE5

**Technical Skills and Knowledge**

**Essential**
- Proficiency in MS Word, MS Excel, MS Outlook.
- Solid Verbal & written communication
- Attention to detail
- Problem solving
- Deadline driven
- Report writing skills;
- Advanced knowledge and interpretation of the FAIS General Code of Conduct Act requirements.
- Ability to make decisions and provide considered and consistent feedback (Escalations);
- Able to work well under pressure;
- Resolve disagreement, escalations and conflict situations in a constructive and professional manner;

**Advantageous**
- Knowledge of the Financial Services Industry
- Knowledge of Business Procedures, Rules, Processes and Controls
- EMPLOYMENT EQUITY
The Company’s approved Employment Equity Plan and Targets will be considered as part of the recruitment process. As an Equal Opportunities employer, we actively encourage and welcome people with various disabilities to apply.

  • Monitoring Officer

    1 day ago

    Sandton, South Africa Discovery Ltd. Full time

    **Business Unit**:Discovery Life**Function**:Compliance**Date**:22 Aug 2023**Discovery Life** - Due Diligence Monitoring Officer**About Discovery** - Discovery’s core purpose is to make people healthier and to enhance and protect their lives. We seek out and invest in exceptional individuals who understand and support our core purpose, and whose own values...

  • Market Conduct Analyst

    1 day ago

    Sandton, South Africa Guardrisk Full time

    **Introduction** Monitoring and Analyzing PPR Regulatory conduct for Guardrisk Life Limited. **Role Purpose** Monitoring and Analyzing PPR Regulatory conduct for Guardrisk Life Limited. **Requirements**: - Matric - Relevant tertiary qualification - Relevant Insurance Experience - Applicable Law Degree - At least 3-5 years experience in a market conduct...

  • Credit Risk Analyst

    2 weeks ago

    Sandton, South Africa Kencorp Executive Search Full time

    **Responsibilities** *** - Post lending management, monitoring progress of developments, reporting on bilateral, syndication and other credit related business. - Actively engage with and present reports to Credit Review Committee and Head Office as required. - Promotion of strategies for credit business development, green finance strategies and other risk...

  • Due Diligence Specialist

    Found in: Talent ZA C2 - 2 weeks ago

    Sandton, South Africa Moore Recruitment Full time

    Moore Johannesburg Advisory is an independent boutique Corporate Finance firm and a member of the Moore Global Network. Moore Johannesburg Advisory prides itself in providing exceptional transaction support services to both the South African and International Markets.Our expert Advisory team is committed to providing tailored solutions that enable businesses...

  • Compliance Officer

    3 days ago

    Sandton, South Africa Guardrisk Full time

    **Introduction** The overall purpose of the Anti-Money Laundering Compliance Officer is to be accountable to the Financial Intelligence Centre, Prudential Authority and Financial Sector Conduct Authority for overall Anti-Money Laundering and Combatting Terrorist and Proliferation Financing compliance. **Role Purpose** The overall purpose of the Anti-Money...

  • Operations Training Specialist

    Found in: Talent ZA 2A C2 - 2 weeks ago

    Sandton, South Africa TalentCru Full time

    The purpose of this role can be defined in terms of the following distinct functions:To provide expertise and training in the different Operations Disciplines required by the organisations Operational staff in performance of their due diligence duties (i.e., in the organisation business investment assessment process as well as in the assessment and...

  • Senior Investment Officer

    Found in: Talent ZA 2A C2 - 2 weeks ago

    Sandton, South Africa Objective Personnel Full time

    Qualifications:BCom Degree in Accounting, finance or other business related field with Accounting 2 or Finance 24 or more years experience in business investment or a business finance related roleExperience in auditing, banking, financial accounting and or sales and marketing will be advantageousMust have the ability to build and maintain relationships, have...

  • Senior Investment Officer

    Found in: Whatjobs ZA C2 - 5 days ago

    Sandton, South Africa Objective Personnel Full time

    Qualifications:BCom Degree in Accounting, finance or other business related field with Accounting 2 or Finance 2 4 or more years experience in business investment or a business finance related role Experience in auditing, banking, financial accounting and or sales and marketing will be advantageous Must have the ability to build and maintain relationships,...

  • Senior Investment Officer

    Found in: Adzuna ZA B C2 - 1 week ago

    Sandton, South Africa Adzuna ZA B C2 Full time

    Qualifications:BCom Degree in Accounting, finance or other business related field with Accounting 2 or Finance 24 or more years experience in business investment or a business finance related roleExperience in auditing, banking, financial accounting and or sales and marketing will be advantageousMust have the ability to build and maintain relationships, have...

  • Business Enablement

    Found in: Talent ZA 2A C2 - 2 weeks ago

    Sandton, South Africa PikUniq Full time

    Attention: Please note that the hiring team responsible for this position will be using the PikUniq platform for candidate screening and conducting one-way interviews. Each application received will be carefully evaluated and screened. Further information on how to get started will be provided. We are looking forward to receiving your application.Position:...

  • Asset Manager

    2 days ago

    Sandton, South Africa Growthpoint Properties Full time

    Job Title and Job Grade Asset Manager - Office Sector Job grade: D5 Job Purpose Conducts strategic management of the property assets by maximizing capital value and net income for specific set of properties in a specific geographic node. Role Location Growthpoint Head Office in Sandton, Johannesburg. The portfolio of properties is in...

  • Senior Dealmaker

    1 day ago

    Sandton, South Africa Adcorp Holdings Full time

    **Qualification and Experience** - Minimum qualification: relevant commercial or technical honours degree - 8-10 years related experience of which 8 years should be in deal assessment as well as closing of transactions - Declared competent in three due diligence disciplines (Marketing, Technical or Financial) - Grounded in all three disciplines - Transaction...

  • Senior Dealmaker

    Found in: Talent ZA 2A C2 - 2 weeks ago

    Sandton, South Africa TalentCru Full time

    Our client in the mining and metals industry is looking for a Senior Dealmaker to evaluate and present applications for funding and structure deals that contribute towards the SBU objectives and industry development goals. This would include performing the complex financial, technical, and marketing due diligence functions across the country, as well as...

  • Assistant Asset Manager

    2 days ago

    Sandton, South Africa Growthpoint Properties Full time

    Job Title and Job Grade Assistant Asset Manager - Office Job grade: D4 Job Purpose: Carries out strategic management of the property assets by growing capital value and net income for a specific set of properties in a specific geographic node, whilst mitigating risk, in collaboration with the Office Sector Asset Managers. Role Location The position will...

  • In House Corporate Attorney

    7 hours ago

    Sandton, South Africa HunterGatherer consulting Full time

    **Vacancy Advert** **Job Title: In-House Counsel Job** Standard hours: Monday - Friday 08h30 to 17h30 Extended hours from time to time Be on call and standby after hours and / or weekends Travel may be required from time to time Skill Level: Professionally Qualified **Qualifications**:BCom (majoring in economics or accounting) LLB Admitted...

  • Business Enablement

    Found in: Talent ZA C2 - 2 weeks ago

    Sandton, South Africa PikUniq Full time

    Attention: Please note that the hiring team responsible for this position will be using the PikUniq platform for candidate screening and conducting one-way interviews. Each application received will be carefully evaluated and screened. Further information on how to get started will be provided.  We are looking forward to receiving your...

  • Procurement Officer

    2 days ago

    Sandton, South Africa Kingdom Blue Full time

    REPORTING TO: FINANCE MANAGER POSITION OVERVIEW: The Procurement Officer is primarily responsible for the management of the daily procurement activities for the company from the request to the delivery of goods, works and services under the supervision of the Finance Manager. QUALIFICATIONS AND EXPERIENCE - Degree in Accounting / Advanced Diploma in...

  • Financial Crime Compliance Officer

    1 day ago

    Sandton, South Africa Discovery Ltd. Full time

    **Business Unit**:Discovery Bank**Function**:Banking**Date**:11-Jan-2023- Financial Crime Compliance Officer**About Discovery** - Discovery’s core purpose is to make people healthier and to enhance and protect their lives. We seek out and invest in exceptional individuals who understand and support our core purpose, and whose own values align with those of...

  • Tax Compliance Officer

    Found in: Talent ZA C2 - 2 weeks ago

    Sandton, South Africa Moore Full time

    Description Moore Infinity is a member of a leading international network of accounting and consulting firms. We have a vacancy in our Tax Division for an experienced  Tax Compliance Officer  to manage a portfolio of tax clients. At Moore we value collaboration and teamwork and provide a supportive environment where your individual contributions...

  • Account Manager

    3 days ago

    Sandton, South Africa IDC Full time

    To pro-actively provide value-adding and strategic advice, support and guidance to the programme and relevant stakeholders. **Qualification and Experience** Qualification** Relevant commercial/technical Degree with Honours or equivalent financial qualification **Knowledge & Skills** - 5 - 8 years Industry/ Sectors Operational experience - 2 to 4 years...