Compliance Manager

4 weeks ago

Johannesburg, South Africa FirstRand Full time

About us, purpose, experience and qualifications

**about us**:
**purpose**:

- To ensure the implementation of the Group's compliance frameworks and programmes and in consultation with business ensure conformance and adherence with regulations and delivers through a team of compliance specialists.**experience and qualifications**:

- 3 to 5 year's experience in a similar environment, of which 1 to 2 years ideally at junior (entry level) management level
- Relevant Degree in Risk Management, registered as a Compliance Officer with the Financial Sector Conduct Authority
- Experience: Meeting the competence, qualification and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority
- Competencies:

- Dealing with Ambiguity
- Influence and Impact
- Negotiation and Consensus Building
- Business Insight and Risk Awareness
- Organisational Awareness
- Systemic Scanning
- Building Relationships
- Networking and Connecting
- Teamwork
- Decisiveness and Action Orientation
- Developing People
- Inclusive Leadership
- Leading Performance Outcomes**additional requirements**:
**responsibilities**:

- Provide input into the budgeting process and monitor utilisation for the financial year according to the operational plan
- Produce or review budget reports to make sure they accurately reflect work activity
- Ensure financial documentation is maintained to support accurate record keeping and future legislative requirements
- Escalate potential budget risks that may lead to increased costs or financial losses
- Present work proposals on planned activities that will require financial resources
- Allocate and approves expenditure
- Collate, analyse and evaluate data and information to forecast expenditure and cash flow trends and make recommendations to improve budget
- Deliver against operational and cost targets
- Prioritise resource allocation to minimise and reduce wastage
- Monitor costs for the financial year according to the operational plan
- Allocats and approvs expenditure
- Review cost reports and resolves or explains variances to the budge
- Identify, control and escalate potential risks that may lead to increased costs
- Manage costs or expenses within approved budget to achieve cost efficiencies
- Deliver customer experience excellence aligned to
- Organisational values and service standards
- Build professional long-term relationships with customers based on trust that builds the brand
- Collect and interrogate information and feedback to ensure full understanding of customer needs to deliver a quality service
- Provide customers with relevant information to keep them informed of products and service options
- Build relationships that allow for the managing of expectations; the sharing of knowledge and diverse insights; and the creation of buy-in
- Engage in cross-functional relationships to obtain and to provide work support
- Improve business decisions by providing accurate and reliable business intelligence (information) together with analysing trends and data
- Provide regular reports on delivery of services against agreed service level agreements and in terms of overall customer targets.
- Accumulate information to review work progress that provides input to reporting, decision making and the identification of improvement opportunities
- Ensure compliance with relevant statutory, legislative, policy and governance requirements in area of accountability
- Ensure implementation of relevant policies, governance and practice standards across the business
- Maintain knowledge on relevant legislative amendments, industry best practices and internal compliance procedures and requirements
- Ensure compliance is adopted in terms of systems and procedures as laid out by organisation and review in response to audit findigns and changes
- Develops an understanding of risks and risk management approaches
- Implement and provide input into the development of governance and compliance procedures and processes within area of specialisation and identify risks
- Participate in specialist communities of practice and contribute positively to own and organisational knowledge improvement
- Understand competencies and skills required for own and employee's development and performance
- Identify development needs and select effective solutions to address own and employee development needs
- Ensure that each employee prepares a personal development plan that is implemented and reviewed as required
- Provide on the job coaching and guidance
- Responsible for implementing and enforcing the organisation's or business units' compliance program
- Maintains awareness of regulatory framework and specific obligations within Financial Advisory and
- Intermediary Services (FAIS) Act, code of conduct, and requirements. Consults on an on-going basis with operational managers to ensure conformance with applicable laws and regulations covering diverse fields
- Manages, oversees and monitors Fi

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