Compliance Monitoring Professional

2 weeks ago

Cape Town, Western Cape, South Africa Rory Mackie & Associates Full time

About Rory Mackie & Associates Compliance Monitoring Team:

The Compliance Monitoring team at Rory Mackie & Associates is a critical assurance function responsible for designing and delivering risk-based compliance monitoring and testing programmes globally. Our primary objective is to ensure that our internal and external business processes are in line with relevant regulations and internal procedures.

Our Compliance Monitoring team collaborates closely with various stakeholders across the organisation, including the compliance department, legal team, and operational business units.

Key Responsibilities:

  • We are seeking an experienced Compliance Monitoring professional to assist in the design and delivery of our client's Global Compliance Monitoring and Testing Programme.
  • The successful candidate will be responsible for undertaking regional monitoring in all regions where we operate to ensure compliance with relevant legislation.
  • They will conduct core and thematic compliance monitoring reviews across the business, including internal functions and outsourced providers.
  • The individual will monitor and report on the implementation of any corrective actions agreed to by the business.
  • They will also be responsible for reporting all findings arising from the completion of the monitoring and testing programmes to relevant stakeholders and committees in a timely manner.
  • The successful candidate will maintain and update the database of risks, controls, and monitoring tests to accurately reflect the monitoring work undertaken by the team.
  • They will work closely and collaboratively with the compliance teams in each jurisdiction and other relevant stakeholders.

Requirements:

  • A relevant tertiary degree and compliance-related courses
  • 2-4+ years of experience in compliance monitoring within an asset management environment
  • Strong understanding of relevant South African regulation
  • Technical understanding of global regulation is beneficial but not essential
  • Skills: strong analytical and reporting skills, excellent communication abilities, experience managing cross-functional stakeholder relationships, and high aptitude for quickly mastering new compliance areas

We look for individuals who possess:

  • The ability to approach challenges and continuously improve
  • Intellectual curiosity, particularly in the use of technology for compliance monitoring
  • The ability to analyse, interpret, and assimilate information
  • High conviction and comfort sharing opinions
  • The ability to build and maintain meaningful relationships

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