Compliance Manager

2 weeks ago

Sandton, South Africa Discovery Ltd. Full time

**Business Unit**:Discovery Central Services**Function**:Compliance**Date**:28 Mar 2024**Discovery Group Compliance**

**Compliance Manager - Monitoring**

**About Discovery**
- Discovery’s core purpose is to make people healthier and to enhance and protect their lives. We seek out and invest in exceptional individuals who understand and support our core purpose, and whose own values align with those of Discovery. Our fast-paced and dynamic environment enables smart, self-driven people to be their best. As global thought leaders, Discovery is passionate about innovating to not only achieve financial success, but to ignite positive and meaningful change within our society.**About Group Compliance**

**Key Purpose**
- The success of Discovery is made possible by our great people. Our Group Compliance department is looking for a knowledgeable, self-starter to join their team as a Compliance Manager (Monitoring) to assist Discovery effectively and productively in managing its responsibility to comply with all the regulatory requirements and minimise the compliance risks identified in business. The purpose of the role is to have managerial oversight to ensure that the organisation meets its compliance obligations by conduct monitoring reviews throughout the organisation provide guidance and support to the monitoring team.**Areas of responsibility**

**Compliance risk monitoring**
- Contribute and review of annual compliance monitoring plan for the Group Compliance Management Committee.
- Present the monitoring plan to the relevant stakeholders in the various business units.
- Execute on the monitoring plan approved by the governing body, through evaluation of control activities to provide assurance that control activities are conducted in compliance with the highest compliance obligations.
- Continuously contribute to the Group Compliance monitoring methodology, framework, reporting templates and supporting standard operating procedures.
- Keeping abreast with all regulatory developments and changes in the financial services industry and industry practices.

**Reporting**
- Review and secure approval of all compliance monitoring reports.
- Attend to annual monitoring plan close-off reporting.
- Provide input into the monthly reports to the various Financial Services Providers (FSPs) within the Group.

**Management of monitoring officers**
- Provide guidance and advise on day-to-day tasks to fulfil execution of monitoring plan timeously.
- Manage and oversee all employee related activities and matters.
- Draft job specifications.
- Draft and review personal and skills development plans.
- Conduct regular performance management reviews.

**Operational**:

- Review business activities to determine compliance with applicable regulatory requirements.
- Compiling of appropriate engagement letters.
- Presenting engagement letters to senior management prior to commencement of monitoring activities.
- Draft and produce finalised working papers and evidence for all components of work, as per standards set in the Compliance Methodology.
- Ensure that working papers are appropriate and include supporting evidence/documents.
- Agree detailed findings with management and provide appropriate recommendations for management actions.
- Presenting monitoring outcomes and recommendations to senior management.
- Obtain and review management comments and action plans related to compliance incidents (breaches and exposures) identified.
- Preparation of follow-up progress reports.

**NB**: The role is not limited to the key outputs mentioned above.**Personal attributes and skills**
- Experience and skills to manage a professional team.
- Problem solving skills and conflict-management of situations in a constructive and professional manner.
- Ability to make rational judgements from the available information and analysis and provide considered and consistent advice.
- Strong communication, reporting and presentation skills.
- Ability to work as a team, understand the impact of decisions and be confident enough to raise concerns within the team and to senior management.
- Strong research ability and attention to detail.
- Strong listening, organisational and communication skills.
- Strong leadership and teamwork qualities, including but not limited to, guiding and motivating of team members to achieve a common goal, setting of objectives for the team and supporting their development and be productive.
- Foster a positive work environment that promotes employee satisfaction and retention.
- Experience working in or with short
- or long-term insurance companies is beneficial.
- Develop an effective network with business representatives and to build the necessary trust relationship with business representatives, such as executive members and senior management.
- Writes in a well-structured and logical way - must have ability to write and review compliance reports and draft compliance guidance notes with detail required to inform the busin

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