Compliance Manager
3 days ago
**Primary Purpose of the Role**
- Designing and facilitating effective and efficient compliance processes with clearly defined roles and responsibilities, that enable business to deliver exceptional client service
- Being a trusted advisor to business, advising on regulations, policies and procedures and enhancing skills through focused training and awareness programmes
- Implementing monitoring processes, providing value-add reporting and ensuring remedial action is taken for identified non-compliance
- Entrenching a strong culture in the firm that is about more than pure compliance, but also about promoting a message that everyone has a role to play in protecting the firm against risk.
The team is responsible for the “Relevant Ethical Requirements (including Independence)” and “Acceptance and Continuance of Client Relationships and Specific Engagements” components of ISQM1.
**Main Duties and Responsibilities**
- Manage design and implementation of projects and initiatives, policies and processes, systems/ tools relating to Acceptance and Continuance of Client Relationships and Specific Engagements and Relevant Ethical Requirements (including Independence).
- Key link between Compliance and the Digital Solutions team to ensure effective and efficient automation solutions.
- Provide training, advice and support to partners, directors and professionals on client acceptance and re-acceptance policies, procedures and systems.
- Identify risks to related quality objectives, assess current controls and design controls to further mitigate any identified risks.
- Perform reviews to monitor compliance to policies and procedures and provide input into related risks.
- Manage team of Compliance Practitioners responsible for certain steps in the client an engagement acceptance processes and provide reporting to Head of Compliance.
- Engage with other stakeholders in the firm to ensure a proper understanding and buy-in for defined policies and processes.
- Prepare reporting for Governance Bodies and Committees.
- Identify improvements to existing processes
**Qualifications, Work Experience, and Knowledge**
**Qualifications**
- Post graduate qualification in external or internal audit. CA(SA) or CIA would be advantageous.
**Work Experience**
- 5 - 10 years of experience in similar risk management, independence and/or compliance roles.
- Experience within a professional services/audit firm would be advantageous.
- Design and implementation of policies and processes for regulatory compliance and risk mitigation.
- Training design and presentation
- Project management experience
- Business analysis experience relating to technology solutions.
**Knowledge**
- Intermediate Excel, Word and PowerPoint.
- Written and spoken English language skills
**Competencies: Technical & Behavioural**
**Technical Competencies**
- Regulatory requirements relating to independence and client and engagement acceptance and re-acceptance.
- Risk management and Compliance related competencies, such auditor independence, enterprise/operational risk management and conflicts of interest.
- Design and review controls to mitigate identified risks.
- Attention to detail
**Behavioural Competencies**
- Good interpersonal and organisational skills
- Strong spoken and written communication skills
- Ability to work independently and collaborate with team members
- A proactive approach to continuous improvement
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