Risk & Compliance

1 week ago

Johannesburg, South Africa Africentric People Solutions Full time

**ACCESS FINANCE INTERNATIONAL (AFI)**

**JOB DESCRIPTION**

**FOR GRADING USE**

**BAND**

**GRADE**

**Department: Risk and Compliance**

**Section: Risk and Compliance**

**Title: Chief Risk and Compliance Officer**

**Name Of Incumbent**:
**1.0 Key Objective**

This position exists to assist the Chief Operations Officers in ensuring that the company functions in a legal and ethical manner while meeting its business goals. The incumbent shall be responsible for overseeing an organization’s compliance with government laws and regulations in all the countries the organization has operations. The incumbent shall be responsible for coordinating with company management to identify potential risks, implementing policies and procedures to uphold laws and regulations, and monitoring the company’s adherence to those policies and procedures through developing compliance programs, reviewing company policies, and advising management on possible risks.

**2.0 Reporting Relationship**

**Title Of Immediate Supervisor**:

- Chief Operations Officer

**Title of Immediate Subordinates if Any**

**Job Title No of Incumbents**
- Risk and Compliance Officers 1
- Legal & Compliance Officer 1
- Exchange Control Officer 2

**3.0 Organizational Chart**

Chief Operations Officer

Chief Risk & Compliance Officer

Risk & Compliance Officer

Compliance Officer

Exchange Control Officer

**4.0 Supervision**

**Supervision** **Given**:

- Risk and Compliance Officers
- Legal & Compliance Officer
- Exchange Control Officer

**How Often**
- Daily, Weekly, and Monthly

**Supervision** **Received**:
The job is supervised.
- Public Entities Corporate Governance Act (Chapter 10.31)
- Public Management Finance Act (Cap 22.19)
- Finance Act (Cap 23.04)
- Money Laundering and Proceeds of Crime Act (Cap 9.24)
- Access Finance Internal Policies
- RBZ Guidelines

**How Often?**

Daily, Weekly, and Monthly

**5.0 Duties**
- Facilitating the establishment, development, and effective implementation of policies and procedures that are required to effectively manage risk within the organization.
- Making sure the organization has a clearly defined program for complying with the country’s laws.
- Constantly reporting to management concerning the organization’s compliance with laws and regulations
- Ensuring all risk and compliance policies and procedures are clearly defined and proactively communicated.
- Identifying, assessing, and managing compliance risk within the business, while meeting regulatory standards and requirements
- Keeping abreast with all regulatory and legislative changes that impact the business.
- Ensure that the organization has an approved written risk management policy, consistent with the business strategies, capital strength, and management expertise, and which falls within the overall parameters.
- Ensure that the organization has an approved risk appetite statement and that this appetite is communicated through the Institution and included within the risk reporting templates.
- Establish a culture within the organization that emphasizes its commitment to internal controls, risk management, and high ethical standards.
- Work with internal audit to ensure that the risk-based audit approach taken is not susceptible to gaps in the risk management process and conduct regular audits to identify potential weaknesses and noncompliance situations.
- Working with the country directors, recommend acceptable risk levels in the organization in line with the framework developed by the Risk Management Team.
- Building and maintaining effective working relationships with all stakeholders in terms of risk and compliance.
- Supporting internal & external audits, providing advice, training, and guidance to the business on regulator matters.
- Work with each department and the various business units to provide risk and compliance support and develop internal company policies and see that they are respected.
- Act in dealing with noncompliance situations, creating realistic plans to overcome them.
- Communicate with employees and make sure everyone is aware of what they need to do to comply with internal and external laws and regulations.
- Integrate risk management into existing planning and operational processes.
- Facilitating the continuous monitoring of changes in the organizational activities and ensuring that risks arising from any significant changes are considered within the risk framework
- Providing advice and assistance with the development of action plans was significant risks have weak controls or require further controls to be implemented.
- Facilitating the identification and documentation of key compliance obligations, with the support of legal and other relevant resources, and translating those requirements into actionable policies and procedures
- Undertaking compliance reviews to analyze performance, and identify gaps, areas for improvement, and corrective action.
- Implement security controls and programs to ensure complianc

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