Compliance Specialist: Business Support

6 months ago

Johannesburg, South Africa Hollard Recruitment Full time

**Job Advert Summary**:
JobPurpose

To assist the Compliance Manager: Business Support with the implementation of new legislation and to develop Compliance Risk Management Plans(CRMP’s) accordingly;
To provide ongoing compliance advice and guidance to business, specifically within the project management Workstreams and Governance Approval Committee;
On a day-to-day basis to manage the Representative register;
To provide ongoing project management support to the Compliance Manager in addition to assisting to drive culture and awareness within the organization;
To establish and maintain effective stakeholder relationships.

Job Responsibility

The Compliance Specialist: Business Support will be responsible for:
**Implementation of new legislation**:
Support the Compliance Manager with the implementation of new legislation, by conducting business impact assessment workshops;
To proactively identify non-compliance issues, to investigate and suggest remediation action plans by preparing draft Regulatory Non-Compliance Reports for approval by the Compliance Manager;
To comprehensively document Compliance Risk Management Plans by capturing documented controls, processes and procedures onto Exclaim and other systems

Preparing and submitting progress reports

Ad hoc reporting

**Providing compliance advice and guidance to business on an ongoing basis**:
Receive and respond to general compliance queries raised by business and other stakeholders;
To provide ongoing support to business by reviewing processes and suggesting changes to make the same compliant;
Supporting the Hollard Governance approval process, in terms of reviewing and/or amending customer facing communication documents;
Alerts management of control breakdowns or control gaps identified;
Where issues of non-compliance has been detected, drafting Regulatory Non Compliance (RNC) reports in terms of the co-ordination of information gathering and documenting of the RNC for approval by the Compliance Manager;
**Representative register maintenance**:
Request additional details where necessary from the various Tied Agencies, and conduct follow up thereon;
Preparation of the rep import documents, including completion of the templates for approval by Compliance Manager;
Maintain an up-to-date running and active rep register.

**Provide support to the Compliance Manager**:
Is responsible for supporting the Compliance Manager: Business Support in terms of the ongoing project management responsibilities;
To support the Compliance Manager in initiatives designed to drive a culture of compliance within the organisation;
To generate compliance awareness by producing Compliance Alerts, Compliance Newsletters and the like;
Deliver training using different mediums, including face to face and e-learning platforms;
Assists in the management of the Compliance SharePoint site, specifically in terms of archiving (record keeping) requirements;
Assists in consolidation of the HL Compliance conformance testing schedule to ensure seamless handover to the Compliance Monitoring function;
Comment on draft bills and other draft regulatory requirements, by 1st understanding the impact to business.

**Customer and Stakeholder Relationship Management**

Building positive and mutually beneficial business relationships, ensuring the Compliance function is perceived as a value adding team, focused on supporting business with achieving its objectives whilst managing regulatory and compliance risks.

**Best Practice and Knowledge Management**

Shares tactical information within the team environment;
Conducts research independently, creates and maintains a repository of research and knowledge;
Keeps abreast of new leading practices, software developments and technologies in terms of Compliance risk management, and reports to management.

**Administration and reporting**

Produces escalation reports;
Produces standard weekly and monthly activity reporting;
Assists with regulatory reporting, by co-ordination of information internally.

**Internal Business Processes**

Recognize and communicate potential risks facing compliance capability;
Monitor and review compliance performance achievement and targets regularly.

**Required Knowledge and Experience**:
Compliance advisory services;
Previous engagement in Combined Assurance Model;
Exposure to risk management practice and methodologies;
Exposure to the general financial services industry.

CRMP documentation, use of systems and tools

General knowledge of the financial services and insurance industry

Customer focused with strong interpersonal skills

Good verbal and written communication skills

Sound thinking skills

Clear communication

Attention to accuracy and detail

Team player and team contributor

Ability to prioritize and multitask

**Educational Requirements**:
Compliance or related legal qualification, or studying toward such a qualification.

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