Compliance Officer

3 weeks ago

Johannesburg, Gauteng, South Africa Nedbank Full time
Job Summary

We are seeking a highly skilled Compliance Officer to join our team at Nedbank. The successful candidate will be responsible for providing advice, guidance, and oversight on compliance practices in client-facing divisions to ensure compliance risks are identified, assessed, managed, and reported on.

Key Responsibilities
  • Build and maintain relationships with internal stakeholders to identify and manage compliance risks.
  • Develop and maintain a clear understanding of the scope and nature of the business conducted by client-facing divisions.
  • Engage with client-facing divisions to clarify roles and responsibilities in the management of compliance risk.
  • Adopt and adhere to a risk-based approach in the management of compliance risk.
  • Stay up-to-date with all high-risk legislation and regulatory developments that may impact the business.
  • Contribute to the creation of a compliance culture and awareness in the division.
  • Execute on the agreed annual Compliance Coverage Plan for the division.
  • Ensure compliance risks are managed by developing/updating Compliance Risk Management Plans (CRMPs) on an annual basis.
  • Provide advice and guidance to client-facing divisions on compliance risks, controls, and possible contraventions.
  • Provide assurance to stakeholders on the state of compliance by reporting on how key risks are being managed.
Requirements
  • Post Graduate Diploma in Compliance Management.
  • Legal Degree.
  • FSCA Regulatory Exam - RE 3 and RE 5.
  • CPrac (SA) - Compliance Practitioner designation from CISA.
  • FICA and FAIS other relevant compliance certification.
Preferred Qualifications
  • Compliance Institute of South Africa (CISA) - preferred, not essential.
Minimum Experience Level

5 years' experience as a Compliance Officer within the Wealth Management / Banking Industry.

Regulatory experience working within a Wealth Management environment as a Compliance Officer, i.e. FAIS/Wills/Estates/POPIA/NCA/FIC.

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.

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