Senior Compliance Officer

2 weeks ago

Johannesburg, South Africa Nedbank Full time

**Job Classification**

**Requisition - 124 551**

**Location**:

- 135 Rivonia Road, Sandton**Cluster -** Wealth Cluster - Nedbank Insurance Division, Distribution business unit**Closing Date** - 24 March 2023**Please note
- Preference will be given to applicants from Underrepresented Groups**
- Job Family- Risk, Audit & Compliance- Career Stream- REGULATORY COMPLIANCE- Leadership Pipeline- Manage Self Professional- FAIS Affected- FAIS Affected - Yes**Job Purpose**
- To assist the Nedbank Insurance Management team with the coordination; facilitation and management of Compliance and Advice through creating analytical tools; 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**Responsibilities**:

- Assist managers within the Business Unit to monitor risks related to compliance and advice requirements by providing guidance or offering expert advice to compliance officers and Group Internal Audit.
- Align solutions with the strategic direction and create new ways of solving problems
- Sourcing and consolidating data to develop and enhance tools to measure Key Compliance Indicators and trends relating to potential compliance and advice risk in e.g. the execution of sales, after-sales during the product and client life-cycles.
- Management of the Risk, Compliance and Advice requirements to provide insights on regulatory, operational and external developments to ensure proactive awareness and management of compliance risk and advice issues.
- Performing a leading role in review of compliance related regulatory changes through internal consultation and provide commentary on the proposed legislation which include offering proposals on alternative wording of requirements.
- Provide Subject Matter Expert guidance on Compliance and Advice Related regulatory changes and oversee the implementation of action plans to align to the upcoming regulatory requirements.
- Provide overview and reporting of the status of the Compliance and Advice risk of Nedbank Insurance Distribution to management and Regulators.

**People Specification**
- Lead the creation of an innovative culture by championing innovation and continuous improvement in Nedbank with specific emphasis on conduct related Compliance Risk Management.
- Facilitate achievement of Nedbank Strategy by formulating, maintaining and executing a strategic plan for Group Compliance: Compliance Services (Market Conduct Compliance Office) and contributing to development of Nedbank Group strategy.
- Drive implementation of Conduct related Compliance risk by establishing appropriate structure for monitoring performance against plans and budgets; taking remedial action where necessary reporting on performance and engaging with stakeholders.
- Ensure sustainable business through alignment of business structures; systems; processes and people and developing tools to measure the conduct related compliance risk across these.
- Meet Nedbank standards of staff performance by managing the recruitment; development; training and performance management of staff.
- Essential Qualifications - NQF Level- Advanced Diplomas/National 1st Degrees
- Essential Qualification- Bachelors qualification in Law/Commerce or Risk Management- Post Graduate Diploma: Compliance- Essential Certifications- Certifications- FSCA approved FAIS Compliance Officer- CISA accreditation (C Prac/C Prof)- Other professional designations in field of expertise- Minimum Experience Level- 7 - 10 years experience in a Short Term Insurance Risk, Advice, Audit and Compliance role with a short term insurance intermediary and/ or short term insurance provider of which 5 years should be at a management level.**Technical / Professional Knowledge**
- Relevant regulatory knowledge
- Risk management process and frameworks
- Cluster Specific Operational Knowledge
- Governance, Risk and Controls
- Compliance reporting
- Reputational risk management
- 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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