Compliance Officer

4 weeks ago

Johannesburg, South Africa Nedbank Full time

**Job Classification**
- **REQ: 123878 - Refilwe Falatsi**:

- **Closing Date: 6 February 2023**:

- **Division: Wealth Centre (Compliance)**:

- **Employment Equity Statement: Preference will be given to individuals from underrepresented groups.**
- Job Family- Risk, Audit & Compliance- Career Stream- REGULATORY COMPLIANCE- Leadership Pipeline- Manage Self Professional- FAIS Affected**Job Purpose**
- To assist the cluster compliance function with the coordination, facilitation and management of the Compliance function for the Wealth cluster through oversight and advisory, reporting and developing networks; providing advice to minimise regulatory, reputational and compliance risk and endeavour to avert potential litigations / penalties.**Responsibilities**:

- Assist in promoting and executing the Wealth Cluster and Group wide compliance strategic initiatives.
- Provide expert advice to business units through the respective compliance teams with regard to compliance risk.
- Review Compliance Risk Management Plans and Monitoring reports, where required.
- Monitor the execution of the Cluster's compliance coverage plans.
- Compile reports for various governance forums and Exco.
- Provide assurance to stakeholders on the state of compliance by reporting on how risks are being managed, highlighting areas that require immediate attention and recommend corrective action to stakeholders.
- Assist with providing direction and support to the compliance officers through alignment to the standards, processes and procedure and where possible identify and recommend opportunities for enhancements.
- Maintain effective internal and external stakeholder relationships and mutually beneficial partnerships.
- Promote coordination and collaboration with other assurance providers.
- Motivate staff to perform and contribute to the success of the business by creating an environment of teamwork through sharing information.
- Keep abreast of developments in field of expertise, including legislation and other industry changes that impact on role.
- Contribute to a culture of transformation by participating in Nedbank culture building initiatives, business strategy, and Corporate Social Initiatives (CSI).
- Support the Wealth Executive Head of Compliance and the Group Compliance function in entrenching and promoting a compliance culture and creating a compliance presence.
- Participate in developing, implementing and addressing issues raised in culture surveys to improve results.

**People Specification**
- Essential Qualifications - NQF Level- Advanced Diplomas/National 1st Degrees
- Preferred Qualification- An appropriate legal, commercial or other applicable degrees;
- Post graduate diploma in Compliance Risk Management
- Preferred Certifications- Compliance Institute of South Africa (CISA)- Minimum Experience Level- **3 - 5 years relevant experience with at least 3 years Compliance experience in the Financial Services Industry.**:

- **Work experience in Wealth Management, Asset Management and/or Insurance will be an added advantage.**

**Technical / Professional Knowledge**
- Relevant regulatory knowledge
- Risk management process and frameworks
- Cluster Specific Operational Knowledge
- Governance, Risk and Controls
- Compliance reporting
- Reputational risk management
- Stakeholder management
- Codes of Good Governance
- Behavioural Competencies- Decision Making
- Influencing
- Building Trusting Relationships
- Managing Work
- Quality Orientation
- Stress Tolerance
- **_Please contact the Nedbank Recruiting Team at +27 860 555 566_

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