Head: Compliance

7 months ago

Sandton, South Africa Guardrisk Full time

**Introduction**
- Drive the development and implementation of best practice compliance strategies, frameworks and practices in collaboration with the compliance community across the Guardrisk Group (Guardrisk) as well as providing strategic compliance advice to Guardrisk.**Role Purpose**
- Drive the development and implementation of best practice compliance strategies, frameworks and practices in collaboration with the compliance community across the Guardrisk Group (Guardrisk) as well as providing strategic compliance advice to Guardrisk.**Requirements**:

- LLB Qualification or B Comm Degree in Compliance, General or Legal
- Post graduate qualification
- Advanced MS Office
- At least minimum 8-10 years of insurance
- Experience in insurance / financial service industry specifically life
- and non-life
- Solid knowledge about the compliance legislation applicable in the financial services industry
- Working knowledge about the compliance risk management framework formulation and monitoring process

**Duties & Responsibilities**
- Keep abreast of trends, legislation and compliance developments
- Drive the implementation of Compliance across Guardrisk Group Analysis and interpretation of existing and new legislation
- Drive implementation with marketing departments to ensure that where compliance risks are identified, appropriate action is taken
- In conjunction with client servicing staff, liaise with stakeholder’s clients’ to ensure implementation of legislative requirements
- Implementation of compliance requirements through internal check-lists relating to the controls for compliance risks
- Oversee Analysis and vetting of compliance documentation at the inception and take-on phase of new business in conjunction with the Compliance Manager
- Liaising between the Marketing and Legal Departments during the analysis and vetting of business
- Drive the client servicing staff in engaging and following up with clients on any outstanding compliance related documentation
- Drive Tracking and following up on implementation of agreed actions, relating to compliance review findings for clients
- Communicate any legislative or regulatory requirements to client facing staff and/or to clients where required
- Oversee the gathering and compilation of information required relating to any regulatory inspections or visits
- Drive the gathering of relevant information in response to formal enquiries by the regulatory authorities
- Prepare reports for submission to management for the various operations and governance forums of the business
- Ability to work in a team but also work independently, as well as work with clients and build relationships with those
- Maintain and manage positive relationships with internal and external
- Effectively communicate at all management levels with clients/stakeholders
- Make recommendations to improve client service and fair treatment of clients within the area of responsibility
- Develop and maintain productive and collaborative working relationships with peers and
- Positively influence and participate in change
- Continuously develop own expertise in terms of professional, industry and legislation
- Contribute to continuous innovation through the development, sharing and implementation of new
- Take ownership for driving career
- Identify solutions to enhance cost effectiveness and increase operational
- Manage financial and other company resources under your control with due respect
- Contribute to the financial planning process within area
- Identify opportunities to enhance cost effectiveness and increase operational efficiency
- Provide input into the risk identification processes and communicate recommendations in the appropriate forum

**Competencies**
- Business acumen
- Collaborative
- Innovative
- Client/ Stakeholder Commitment

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