Compliance Manager

1 month ago

Sandton, South Africa FirstRand Bank Limited Full time

About the Role

The Compliance Manager will be responsible for ensuring the implementation of the Group's compliance frameworks and programmes in consultation with business to ensure conformance and adherence with regulations and deliver through a team of Compliance resources/specialists.

Key Responsibilities

  • Ensure adherence of organisation policies and procedures, especially regulatory and ethical standards.
  • Perform regular audits, design control systems and help to design and implement company policies.
  • Deliver customer experience excellence aligned to Organisational values and service standards.
  • Build professional long-term relationships with customers based on trust that builds the brand.
  • Collect and interrogate information and feedback to ensure a full understanding of customer needs to deliver a quality service.
  • Deliver service that exceeds customer expectations through proactive, innovative and appropriate solution selection and application.
  • Provide customers with relevant information to keep them informed of products and service options, identification of improvement opportunities.
  • Implement, monitor and control business processes according to quality standards, policy; and compliance and governance requirements in the area of accountability.
  • Research, enable and consult on improvements and opportunities to harness technology and platform enablement.
  • Review existing processes and suggest innovative ideas to improve and streamline processes to drive efficiencies and minimise redundancy.
  • Analyse and interpret regulation and legislation using a risk-based approach. Identification and risk rating of applicable laws and regulations for responsible business units.
  • Development and implementation of compliance/legislative universe for responsible business areas.
  • Development and implementation of Compliance Risk Management Plans (CRMPs) for core legislative and regulatory provisions.
  • Compiling monitoring plans indicating the compliance monitoring methodology used and the frequency thereof.
  • Compiling monitoring reports on the results of monitoring.
  • Incident reporting, to ensure timeous escalation of compliance risks and incidents Interpret regulation and legislation and assist business units with practical implementation thereof.
  • Advise and guide management on systems, policies, processes and controls implemented to enable compliance.
  • Research and communicate applicable legislative developments to all stakeholders.
  • Assist with the promotion of a culture of compliance and awareness and actively participate in compliance projects and training initiatives.
  • Ensure compliance with relevant statutory, legislative, policy and governance requirements in the area of accountability.
  • Ensure implementation of relevant policies, governance and practice standards across the business.
  • Maintain knowledge of relevant legislative amendments, industry best practices and internal compliance procedures and requirements.
  • Ensure compliance is adopted in terms of systems and procedures as laid out by the organisation and review in response to audit findings and changes.
  • Develops an understanding of risks and risk management approaches.
  • Implement and provide input into the development of governance and compliance procedures and processes within the area of specialisation and identify risks.
  • Educates others and makes suggestions for improvements.
  • Networks and participates in specialist risk forums where required.
  • Provide input into the development of the business area tactical strategy in achievement of the overall business strategy.
  • Develop and implement an area operational plan for the achievement of Business objectives.
  • Responsible for implementing and enforcing the organisation's or business unit's compliance program.
  • Maintains awareness of regulatory framework and specific obligations within Financial Advisory and ensures compliance with and oversight of ongoing statutory regulatory requirements. This responsibility includes monitoring and validation of investor files, technical and documentary support to investor teams, updating of operational procedures and participation in compliance committees.
  • Participate and contribute to a development culture where information regarding successes, issues, trends and ideas are actively shared.
  • Build and sustain collaborative working relationships with relevant peers and stakeholders to achieve productivity synergies.
  • Participate in specialist communities of practice and contribute positively to own and organisational knowledge improvement.
  • Promote teamwork and inclusivity amongst team members and demonstrate behaviours that respect diversity.
  • Partner and collaborate with team members to achieve team success.
  • Share information and knowledge that benefits the team.
  • Manage team delivery against goals in the area of responsibility.
  • Ensure skills are transferred in specific functions.
  • Ensure conflict resolution and respond to any complaints or concerns.
  • Create an environment conducive to cross-functional skills transfer.
  • Plan training interventions which support FNB and Group strategies.
  • Understand which competencies and skills are required to be mastered to ensure personal and employee development and performance.

Requirements

  • Minimum bachelor's degree in compliance, risk management, legal or similar.
  • Minimum of 3 years of experience in compliance, data privacy, or a related field.
  • Proven track record of managing data privacy programs and ensuring regulatory compliance.
  • Experience with dealing with multi-level stakeholders across a large group.
  • Keep abreast of learning opportunities, changing products and trends.

What We Offer

  • Opportunities to network and collaborate.
  • A challenging working environment.
  • Opportunities to innovate.

Who We Are Looking For

  • Adaptable and curious.
  • Have a proven successful track record.
  • Thrive in a collaborative environment.

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