Compliance Officer: Control Room
6 months ago
Job Family- Risk, Audit and Compliance
- Career Stream- Regulatory Compliance
- Leadership Pipeline- Manage Self: Professional
**Job Purpose**
- To assist the Senior Compliance Manager, reporting into the Head: Compliance Control Room with the coordination; facilitation and management of the Compliance function for the Division through monitoring; reporting and developing networks; providing advice to minimise regulatory; reputational and compliance risk and endeavour to avert potential litigations/ penalties and ultimately increase shareholder value for the bank.
**Responsibilities**:
- Perform core Control Room advisory and monitoring functions. This requires interacting with Investment Banking (IB), Client Coverage (CC), Property Finance (PF), Transactional Services (TS), Markets and Research (MKTS) and other support areas.
- Assist in the continued enhancement/digitisation of the Control Room and the build out of an expanded Control Room including policy and innovation.
- Chaperone and vet communications between Private and Public side.
- Maintain information barriers and manage flow of material non-public information.
- Facilitate the Watch List and Restrict List. Advise and facilitate all Barrier Crossings.
- Liaise with London Branch and Investment Research affiliates to ensure global consistency where necessary and/or desirable.
- Day-to-day review and clearance of Investment Research publications in compliance with research rules and to identify potential conflicts of interest.
- Performs Conflicts of Interest (COI) assessments across pipeline/opportunities, opportunity related parties (ORPs) and Opportunity Team Members (OTMs).
- Review and assess Outside and Ancillary Business Interests declared by staff for conflicts of interests at a opportunity and individual level.
- Review and assess Gifts and Entertainment declared by staff for conflicts of interests at a opportunity and individual level.
- Assist stakeholders within the Business Unit to monitor risks related to governance and compliance by providing guidance or offering expert advice to governance and compliance officers.
- Participate in developing, implementing and addressing issues raised in culture surveys to improve results.
- Assist in the development of Conflicts of Interest, Confidential Information and Information Barriers Policies
- Assist in and conduct policy training
- Mentor and coach staff on identified performance gaps.
- Motivate team members to perform and contribute to the success of the business by creating environment of teamwork through engaging with staff (sharing information) and encouraging participation in decision making processes (Team Lead).
- Essential Qualifications - NQF Level- Advanced Diplomas/National 1st Degrees
- Preferred Qualification- Post Graduate Diploma: Risk Management, LLBPost Graduate Diploma: Risk Management, LLB
- Minimum Experience Level- 5-8 years in a compliance/risk/governance role
**Technical / Professional Knowledge**
- Change management
- Cluster specific operations
- Compliance reporting
- Governance, Risk and Controls
- Relevant regulatory knowledge
- Relevant software and systems knowledge
- Reputational risk management
- Risk management process and frameworks
- 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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