Specialist: Compliance Risk

Key Performance Areas

**1. Implement a comprehensive compliance programme aligned to organisational planning process**
- Assist management in the design, development and implementation of compliance frameworks
- Assist in the design, development and delivery of compliance awareness and training interventions
- Develop or review, advise and create awareness of role and responsibility descriptions

**. Ensure compliance through best fit compliance practice aligned to regulatory requirements and create awareness with stakeholders to embed a compliance culture**
- Identify, assess and prioritise all the applicable regulatory requirements that the Bank is required
- Provide compliance advice and services to compliance stakeholders
- Communicate the regulatory universe and risk profile to relevant stakeholders
- Delegation of Power (DOP)
- Develop, review, coordinate and facilitate approval protocol and implement policies and procedures within area of responsibility
- Corporate Governance

**3. Develop and implement a compliance monitoring plan using accepted standards, methodologies and tools**
- Assist and provide input for the identification, prioritisation and management of compliance risk
- Develop a compliance monitoring plan
- Present a compliance monitoring plan to management and governance stakeholders for approval
- Implement appropriate monitoring methodologies
- Monitor compliance with applicable regulatory requirements relevant to the organisation and its products and / or services

**4. Compliance Reporting**
- Determine the governance requirements relating to compliance reporting
- Determine the compliance reporting requirements to stakeholders and regulators / supervisors in terms of regulatory and/or organisation requirements
- Implement and maintain a compliance reporting processes
- Generate reports in the appropriate format

**. Build and Maintain stakeholder relationships**
- Develop and implement registers of regulators and supervisors
- Coordinate communication channels and liaison with regulators and supervisors
- Draft policies and procedures to address the management of the relationship with regulators and supervisors
- Implement processes to manage relationships with regulators and supervisors across jurisdictions

**6. Performance of Ethics Responsibilities for the Company Group**
- Collaborate with internal and external stakeholders in addressing ethics related issues.
- Conduct research and advice on best practices to detect and address unethical behavior
- Regularly monitor compliance with the complaints and ethics policies and procedures.
- Report all non-compliance to relevant stakeholders
- Identify high risk areas and put forth recommendations.
- Identify root causes for non-compliance.
- Engage with all stakeholders in developing relevant tools/framework/ strategies
- Engage with all stakeholders concern in conducting the investigation

**1. Implement a comprehensive compliance programme aligned to organisational planning process**
- Assist management in the design, development and implementation of compliance frameworks
- Assist in the design, development and delivery of compliance awareness and training interventions
- Develop or review, advise and create awareness of role and responsibility descriptions

**2. Ensure compliance through best fit compliance practice aligned to regulatory requirements and create awareness with stakeholders to embed a compliance culture**
- Identify, assess and prioritise all the applicable regulatory requirements that the Bank is required
- Provide compliance advice and services to compliance stakeholders
- Communicate the regulatory universe and risk profile to relevant stakeholders
- Delegation of Power (DOP)
- Develop, review, coordinate and facilitate approval protocol and implement policies and procedures within area of responsibility
- Corporate Governance

**3. Develop and implement a compliance monitoring plan using accepted standards, methodologies and tools**
- Assist and provide input for the identification, prioritisation and management of compliance risk
- Develop a compliance monitoring plan
- Present a compliance monitoring plan to management and governance stakeholders for approval
- Implement appropriate monitoring methodologies
- Monitor compliance with applicable regulatory requirements relevant to the organisation and its products and / or services

**4. Compliance Reporting**
- Determine the governance requirements relating to compliance reporting
- Determine the compliance reporting requirements to stakeholders and regulators / supervisors in terms of regulatory and/or organisation requirements
- Implement and maintain a compliance reporting processes
- Generate reports in the appropriate format

**5. Build and Maintain stakeholder relationships**
- Develop and implement registers of regulators and supervisors
- Coordinate communication channels and liaison with regulators and supervisors
- Draft policies and procedures to