Head: Compliance

2 weeks ago

Johannesburg, South Africa Headhunters Full time

**Our client in the Finance sector based in Johannesburg is looking to employ a Head Compliance and Operational Governance to join their team.**

**Requirements**:

- To implement and maintain a compliance framework, compliance monitoring and provide compliance support to the business.
- Grade 12/ Matric
- Computer literate and must be proficient in MS Office (required).
- Experience in a risk, legal or compliance role in a category I or II financial services provider environment (required).
- FAIS Approved Category I and II Compliance Officer (required).
- Compliance or risk management qualification or designation (advantageous).

**_Knowledge:_**
- Knowledge and understanding of legal principles and ability to interpret legislation (required).
- Knowledge and understanding of compliance risk management principles (required).
- Knowledge and understanding of the Financial Services Industry (required).
- Knowledge of other legislation applicable to the business, e.g. Collective Investment Schemes Control Act, Companies Act, employment law (advantageous).

**_Desired competencies, skills & attributes:_**
- Excellent verbal and written communications skills.
- Attention to detail.
- Ability to learn and adapt quickly.
- Analytical skills and the ability to work in a methodical and organized manner.
- Ability to work independently and under pressure.
- Proactive and resourceful and takes initiative.
- Willingness to perform a wide variety of tasks and to continuously learn and improve.

**Duties and Responsibilities**:
**_
Compliance_**
- Establishing, implementing and maintaining a regulatory compliance management framework and function within the business in accordance with the overall risk management framework and group and licence holder requirements.
- Creation of compliance risk management plans and the monitoring of compliance in terms thereof.
- Management of compliance functions within the various regions of the business, where applicable, and external compliance providers.
- Assisting business in creating processes to mitigate the identified compliance risks within the business.
- Drafting and implementation of compliance policies.
- Training of employees on compliance policies and legislation, including the drafting of training material.
- Addressing compliance related queries from within the business.
- Creating a compliance culture within the business.
- Reporting to management, the stakeholder and the relevant regulators on compliance on the business.
- Advising business on regulatory changes which may impact compliance management within the business.
- Establishing and maintaining relationships with regulators and other internal and external stakeholders.
- Complaint investigation and management.
- Administrative duties related to the above.

**_Operational Governance:_**
- Assist with the operational implementation of the Group Governance Framework.
- Draft and review operational governance policies.
- Manage operational governance processes, e.g. drafting and updating of delegation of authority.

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