Aa Compliance Officer
3 weeks ago
**The Person**:
- LLB / B.Com qualification.
- Compliance Practitioner designation.
- FAIS approval for Category I. (Category 2 an advantage).
- Compliance and Risk Management qualification an advantage.
- Min 3 to 5 years related experience.
- Experience in financial services an advantage.
- Compliance experience in transactional banking/retail banking products/payments an advantage.
**The Job**:
Report to the Compliance Manager:
Monitoring:
- Monitor relevant legislation within agreed time, including but not limited to:
- Anti-Money Laundering,
- Counter Terrorist Financing and proliferation financing legislation,
- Protection of Personal Information Act,
- Banks Act,
- Financial Advisory and Intermediary Services Act,
- Conduct of Financial Institutions Bill,
- Code of Banking Practice,
- Companies Act,
- King IV,
- Labour Legislation, Payments Legislation etc.
- Projects/reviews as per Compliance Plan.
- Manage identified non-compliance and findings.
- Maintain discussions with business with a view to finding solutions.
Reporting:
- Prepare reports accurately and timeously on monitoring activities, for Management and Board presentation.
- Collate information and develop reports and presentations to external stakeholders.
- Present recommendations to Executive Management and external stakeholders.
Legislation:
- Develop and continuously update compliance risk management plans for legislation in terms of Regulatory Universe.
- Continuously identify potential new legislation that may be relevant.
- Provide input/information to business on new applicable legislation and assist to put controls in place in order to meet compliance obligations.
Agreements:
- Draft new and review agreements.
- Provide legal opinions where applicable.
Additional:
- Policies and procedure review.
- Train and assist employees to improve their regulatory.
- Knowledge and enhance the compliance culture.
- Management of onsite reviews.
- Communicate with various stakeholders as required, on compliance related matters.
- Conduct training on legislation and other compliance related material.
- Assist other Assurance/Support departments when required.
**Competencies**:
- Ability to maintain effective workflow under pressure.
- Demonstrate a good understanding of the banking industry and banking operations.
- Logical, analytical & problem-solving ability.
- Excellent communicative abilities and sound interpersonal skills.
- Business acumen and grasp of governance and related matters.
- Ability to resolve conflicts and disagreements in a constructive manner.
- Strong verbal and written communication skills.
- Strategic thinker.
- Ability to interact professionally at all levels of Management, employees as well as internal and external stakeholders.
- Adaptability and accountability.
- Attention to detail.
- Integrity.
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