Compliance Specialist

2 weeks ago

Johannesburg, Gauteng, South Africa FirstRand Bank Limited Full time
Job Description

Job Title: Compliance Specialist

Job Summary:

We are seeking a highly skilled Compliance Specialist to join our team at FirstRand Bank Limited. The successful candidate will be responsible for providing robust regulatory compliance advice, guidance, and support by monitoring processes and related controls in accordance with compliance methodology and minimum standards.

Key Responsibilities:

  • Develop and implement compliance and conduct risk management frameworks, policies, and procedures to ensure compliance with regulatory requirements and industry standards.
  • Identify, assess, and mitigate compliance risk across the bank, including risks related to retail market conduct, and wholesale conduct through regular reviews and horizon scanning for emerging trends and risk.
  • Participate in compliance tracking, reviews, and validation of incidents, including testing of processes and business controls as well as reporting on findings and recommendations.
  • Make use of data analytics and scripts during compliance and conduct reviews and validation to create efficiencies and create ongoing monitoring opportunities.
  • Conduct investigations into compliance breaches and implement corrective actions to prevent recurrences.
  • Develop and maintain compliance and conduct metrics and report to various committees across the organization.
  • Collaborate with business units to ensure compliance and conduct risk is integrated into business decision-making.
  • Stay up-to-date with changing regulatory requirements and industry developments, advising senior management on implications and necessary actions.
  • Develop and maintain relationships with regulatory bodies, ensuring effective communication and compliance.
  • Develop and implement corrective action plans to address regulatory findings and/or assurance findings relating to compliance and conduct risk.
  • Develop, encourage and nurture collaborative relationships across the organization.
  • Provide ongoing and accurate advice to internal stakeholders, including the drafting of internal opinions and the ability to understand and correctly apply complex legislative rules to internal business procedures and controls.
  • Apply a customer-centric approach to ensure the fair outcomes of customers.
  • Ensure that internal stakeholders update non-compliance incident logs on the internal issue management system and issue risk and root cause analysis reports as required.
  • Ensure that all internal and external regulatory reporting obligations are discharged.
  • Enhance the compliance and conduct programme through, regular review and prioritisation based on identified risk and horizon scanning for emerging trends and risk.
  • Conduct training interventions and assist with the development of training material, as required.
  • Ensure development and continuous value add improvement to operational processes.

Requirements:

  • BCom, LLB or bachelor's degree (in a business-related discipline, Legal, Compliance or Auditing).
  • Postgraduate Diploma in Risk Management, Market Conduct, Compliance Management or related field will be advantageous).
  • Have 2 to 5 years of experience in a Risk Management, Compliance, Regulatory, Monitoring/Audit or similar environment.
  • Additional knowledge on Financial Services Industry; Market Conduct; and FAIS
  • Agile and effective regulatory change management
  • Holistic view of customer target groups and product life cycle

What We Offer:

  • Challenging Work.
  • Opportunities to network and collaborate with stakeholders at all levels of the organisation.
  • Engage with subject matter experts to enhance and develop your skill set.
  • Opportunities to innovate and use data analytics.

How to Apply:

Apply now to join our team and take the first step towards a rewarding career in compliance.

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